Head of Private-Side Advisory and Control Group
Global Investment Bank seeks a Compliance Officer to head up their Private-Side and Control Room operations.
The role will require strategic input into several key areas and will be operating at the senior level within the firms Compliance Management team. Working closely with the Head of Compliance with the key tasks including:
* Day to day advice on sales and trading and operational issues across ECM, DCM and IB products
* Assistance to corporate finance including wall crossings and conflict management issues; advice on AIM and LSE rules relating to listing and ongoing obligations.
* Advice on management of conflicts of interest. Maintenance of Grey and Restricted lists.
* Review and approval of new products. Due Diligence. AML checks.
* Assessment of any proposed regulatory changes. New employee inductions and training.
* Significantly upgrade policies and procedures/ controls.
* Undertake disclosures to Takeover Panel and LSE; review of announcements and press releases.
* Assist with improvement of management information/reporting.
* Assist with routine regulatory notifications.
Background and Qualifications
* The candidate will have been in a senior advisory role providing advice and support to corporate finance and Control Room divisions.
* Must be familiar with FSA rules. Ideally the candidate will have familiarity with AIM and Listing rules of LSE, as well as Takeover Panel disclosure rules.
* Must be proactive and collegiate in approach and be willing to assist the business and help it grow.
If you are interested in finding out more about this role. Please contact Aaron Bolton on 02033016303 by phone or aaron.bolton@blackswangroup.com. Alternatively contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com
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