Research Compliance Officer
A top tier investment bank seeks a Research Compliance Officer to join their team at either VP or Director level and provide Compliance support to the EMEA Research (including Equity, Fixed Income and Macro related) businesses.
• Develop and manage effective working relations with EMEA Research and Investment Banking (including Corporate Broking and Capital Markets) management/teams and support managers.
• Chaperoning internal communications between Investment Banking and Research
• Provide guidance, review and approve pre-deal equity research in EMEA. This involves liaising with Research Management, the vetting Research Analyst, Research Editors, Supervisory Analyst and internal external legal counsel.
• Provide day to day advice to Research Management and team based on regulatory and internal policies.
• Work closely with international Research Compliance and Legal teams to ensure consistency in approach and best practices.
• Liaise and provide guidance to EMEA Legal Compliance colleagues, particularly the Control Room, Investment Banking Compliance EMEA and other regions in respect to EMEA Research matters.
• Investigate regulatory issues and breaches, advise Research management and liaise with legal counsel with respect to such issues. Assist in managing regulatory enquiries
• Assist with the development of new and/or update existing Monitoring Testing items for EMEA Research Compliance Program from a local and global perspective.
• Review Research Compliance policies and ensure it is consistent with global and local regulatory practices. This involves taking the lead and co-coordinating with the respective Country Compliance colleagues for local regulatory input on global Research policies.
• Provide guidance and training to the junior team members.
• Manage Research internal audits from a Compliance perspective
The Candidate:
• Substantial experience of Research Compliance or Control Room, or Research Department business or operational role (such as a Supervisory Analyst).
• Strong knowledge in Equity (particularly pre-deal research), Fixed Income and Macro research products.
• Excellent interpersonal skills and ability to interact with people from different areas at all levels of seniority.
• Ability to recommend solutions and deliver difficult messages as appropriate.
• Provide after office hours and weekend support as required.
• Detail oriented, organised, very proactive and responsible.
• Team player.
• The ability to work in a pressurised environment with tight timelines required.
• Demonstrable management skills.
• Good presentation skills.
This is an outstanding opportunity to join one of the pre-eminent banking groups in the world and play a significant role in the production of research, one of the most important functions in the bank. Your guidance, regulatory knowledge and analytical skills will be tested daily in a challenging and rewarding environment.
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