Senior Compliance Advisor
Our client, a Global Financial Institution is looking for a Senior Compliance Advisor to join their compliance department and provide regulatory guidance and advice to their DCM ECM business. The individual would help in identifying and mitigating risks across the business and help promote a proactive regulatory culture.
Duties Include:
- Provide transactional and regulatory advice to the business and support functions.
- Liaise with Senior Management and advise on regulatory matters.
- Provide compliance input on new business initiatives and respond within agreed timescales.
- Ensure the business is compliant with applicable regulations and banking laws.
- Provide compliance support and expertise to other business units surrounding the ECM and DCM business.
- Liaise with Senior Management and provide ad-hoc reports on the performance of compliance activities.
- Investigate and respond to regulatory enquiries.
- Update on upcoming changes to regulations, compliance policies and procedures.
- Build a proactive relationship with the business and Senior Management
- Lead and/or assist on ad hoc regulatory project when necessary.
The preferred candidate will ideally have an investment banking, securities or wholesale banking background and demonstrate a strong knowledge of either debt capital markets or equity capital markets business. 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.
Leave a Reply
You must be logged in to post a comment.