Research Compliance Advisor recruitment
Our client, a Global Financial Institution is looking for a Research Compliance Advisor to provide support and guidance to their fixed income business. The individual would help support the compliance function in identifying and mitigating risks across the fixed income business and help promote a proactive compliance culture within the firm.
Duties Include:
• Provide compliance advice and support to the Fixed Income business and other related markets divisions.
• Provide advice, training and monitoring to the Fixed Income Research Desk Strategy departments.
• Provide support and act as the point of contact for members of front office.
• Work closely with the supervisory Analysts, editorial and publishing teams to ensure research is produced according to regulatory requirements.
• Liaise with international counterparts to ensure consistency of research and lead or assist on projects as necessary.
• Develop and conduct regulatory training on a periodic and ad hoc basis
• Deal with issues and queries arising from reviewing and signing-off new business proposals.
• Ensure compliance policies and procedures remain current and are developed according to regulatory updates.
• Identify regulatory issues impacting the fixed income business and other markets divisions.
The preferred candidate will ideally have an investment banking background and demonstrate a strong understanding of fixed income products. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to inan@altussearch.co.uk or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.