Head of Regulatory (CF10/CF11) recruitment
A specialist investment banking group which focuses on equity capital market activities, asset management and principal finance. With five offices in the UK, Channel Islands and Germany their ECM division offers a wide range of services for companies, institutional investors and other sophisticated clients, including stock broking, market-making and corporate finance. The asset management division manages specialist funds, with a particular focus on real estate, growth capital and alternative asset classes.
The Role:
A key strategic role has arisen for a senior regulatory lawyer to join the established compliance team. You will have experience in a range of regulatory activities in line with the Group’s business, with particular knowledge of trading, corporate finance and asset management.
The incumbent will play a major role in setting and overseeing the regulatory framework for the Group, working closely with the Board and Divisional Teams. There will be an opportunity to contribute as part of the wider legal function, to the activities of the Group, which may include fund structuring and principle finance investments.
Reports to:
Dual reporting line to the Group General Counsel and Chief Operating Officer.
Key Accountabilities:
• To provide leadership on the approach to regulation management and best practice for the Group;
• Delivery and implementation of a group-wide framework within which regulation will be assessed and managed;
• To provide expert guidance on the development of risk monitoring tools, relevant policies and control documentation;
• To support the business in identifying existing and potential risks and mitigating actions;
• To lead the internal Regulation Committee meetings;
• To keep abreast of industry news and ongoing changes in regulation in relevant markets;
• Provide functional leadership to the regulatory team members
Knowledge and Experience:
• A minimum of 5 years post qualification experience most likely gained in a leading law firm, though relevant experience gained in-house will also be of interest;
• Experience of working with multiple business areas
• Evidence of implementing solutions (for clients or in-house) that are pragmatic, practical and deliver focused management information
Skills:
• Pragmatic and practical
• Fast-paced, flexible and resilient
• Strong business analysis and problem solving skills
• Ability to express complex issues succinctly and clearly to non technical colleagues
• Depth of character and gravitas
• Energy, dynamism, and passion for complex business challenges
• Organised, rigorous and disciplined