Head of Research Compliance
Our client is one of the largest financial services providers in the world looking for a candidate to fill the role of the Head of Research Compliance.
Personal Requirements:
A solid amount of experience in a research or compliance advisory role or control room position, preferably from a full service Investment Bank
Desirably have a degree or professional qualifications
Sound understanding of Fixed Income products
A clear understanding of the UK FSA Conduct of Business rules, Global Settlement rules as well as FINRA and US securities laws.
Understanding and appreciation of fixed income markets/products is essential as is a broad understanding of FSA rules relating to research and conflicts of interest.
Knowledge of research disclosure requirements is essential under UK rules as well as for APAC and US.
Our client would also consider someone from a pure control room background or fixed income advisory background. Ideally the candidate desired would have fixed income research experience.
If you are interested in finding out more about this role please contact Alex Hardy for a discussion or email your CV on alex.hardy@blackswangroup.com
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