ECM Advisory AD
Role: ECM Compliance Advisory
Company: Tier 1 Investment Bank
Location: City of London
Salary: Upto £85,000
A tier 1 Investment Bank is looking for a ECM compliance advisor to join there team. The role is reporting into head of ECM advisory and Head of the private side. The role will offer candidates exposure across products and the succession planning to become a senior manager.
The responsibilities of the role include:
Develop strong relationships with the management of the relevant business lines and desk staff situated on the private side.
Meet regularly with business heads for updates and to promote a culture of compliance.
Foster a general awareness of FSA and Exchange rules / issues among Corporate and Markets staff and help improve operating standards.
Advise on the regulatory aspects of new products/new business emanating from the business lines.
Provide regulatory assessment for any proposed transactions.
Determine the inherent regulatory risks posed by the business, assessing any mitigating factors and establish any further action required to mitigate regulatory risks.
Requirements:
Candidates need to have experience of compliance advisory focussed on ECM or from Corporate financing. They also need to be from a large Investment Bank with strong academics.
If this role is of interest or you would like a discussion around your career please get in touch on 0203 46 50110
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