Global Head of Legal and Compliance
A financial services boutique with a number of different business lines is looking to hire a Head of Legal Compliance to head up the combined group functions.
The business’ head-office is located in London, with offices in New York, Dubai and Hong Kong. It has grown into a ‘shadow banking’ operation with a number of product lines including structured products trading, a hedge fund, stock loan, security services and brokerage.
The firm is now approximately 85 people globally and are looking to expand further through both organic growth and acquisitions over the next few years.
They are looking for an experienced legal and compliance head that will take on the combined General Counsel (GC) and Head of Compliance roles. This will involve taking responsibility for all jurisdictions the group operates in. From a product perspective you will need an understanding of:
- Derivatives: all types of equity derivatives (options, TRS, put, call etc)
- Cash products: Stock Loans, repo, secured lending and back to back arrangements
- Security arrangements, custody, co-termination, ISDA, GMSA
- Structured Products: experience in execution of structured products including identification and mitigation of legal risks (e.g. self-reference issue, up-stream guarantee enforcement issues etc)
- Drafting agreement and term sheets (i.e. able to get hands on) for each of the above product lines.
- Alternative investments and fund structures
- Ideally some knowledge of FINRA regulations and Securities and Futures Commission Regulation in Hong Kong.
The business has constantly been expanding since it was started in 2008 and it is taking on a new and exciting phase of growth both in the Europe and globally. This opportunity presents a great chance for exceptionally strong but hands-on Head of Legal and Compliance with a broad skillset to join an established firm with plans for exponential growth over the next few years. You will undoubtedly have to play and important part in the growth and success and should expect to be more than suitably rewarded.
I appreciate this is a slightly unusual opportunity so please call to find out more details.
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