Large Holdings Advisory Compliance Officer
An exciting opportunity has arisen for a Large Holdings Advisory Compliance Officer to work for a top tier Investment Bank.
You will be responsible for the provision of regulatory advice to all areas of the business; monitoring of all business activities to measure Compliance with applicable regulations and the firm's risk management framework and the creation and implementation of appropriate regulatory policies and procedures.
Responsibilities include:
- Providing advice to Business staff on Large Holdings disclosures.
- Providing technical advice on the impact of financial instrument selection, transaction structure, sensitive industry, poison-pill, related party, short selling and MA issues globally.
- Liaising with traders and the business to provide real-time trade approvals and position information.
- Training senior management and the business on Large Holdings issues.
- Providing Compliance senior management with updates and escalating where necessary, including the creation and production of relevant management information.
- Establishing global Large Holdings protocols, procedures and early warning systems, including identifying EMEA regional/local disclosure needs and harmonising our approach with industry interpretation.
- Ensuring swift and accurate remediating of general issues (such as late or incorrect filings) and IT large holdings issues.
Skills and Experience:
- Experience working in the financial services industry, preferably in a regulatory related role is highly desirable.
- Familiarity with regulatory frameworks and financial products, particularly as they are reflected in large holdings rules is beneficial.
- An ability to be a quick thinker and to understand complex transactions and explain compliance issues clearly and concisely is advantageous.
To apply for this role you will need to possess the relevant experiences listed above.
This is a fantastic opportunity to work for a top tier investment firm.
To apply for the role you must be eligible to work in the UK.
Please contact: ycush@morganmckinley.co.uk or call: 02070920206.