OTC Compliance Advisory
I am recruiting a role for a Senior Compliance Advisory Officer in a large well respected bank. The candidate should have investment banking compliance advisory experience and understanding of the appropriate products (OTC).
Key responsibilities are;
- To act as a guardian for the banks regulatory, ethical conduct and reputation and escalate any matters appropriately.
- Knowledge of the regulatory environment and its affects on OTC products and sales.
- Remain up-to-date with any new regulatory and business developments.
- Provide day to day BAU advisory support to the buisness.
- Provide advice and challenge the new business team or the front office with regards to new initiatives as per departmental procedures.
Key desirables;
- Minimum 5 years compliance experience
- Strong understanding OTC products ad financial instruments.
- Previous expeirence of selling OTC products to retails cleints would be a bonus.
- Previous project experience.
- Background in legal or accountancy preferred.
- Strong teamwork and communications skill are key.
If you are interested in this role and feel you have the suitable attributes please send your CV to liam.o’mahoney@bruinfinancial.com.
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