Senior Compliance Advisory Officer
Our client, a global financial financial institution is looking for a senior compliance advisory officer to provide advice, guidance and support to their investment banking business focussing on their corporate finance activities and reporting directly to the Head of Investment Banking Compliance. The individual would help to mitigate regulatory risks to protect and enhance the reputation of the firm.
Duties Include:
· Point of contact for business in regards to regulatory and transactional advice.
· Provide regulatory input and advice in the development of new products and services
· Provide clearance for investment research and marketing material.
· Provide solutions to the business for conflicts management and wall crossings.
· Provide compliance training to the business and firm
· Provide advice and guidance on regulatory, reputational and ethical matters in relation to equity capital markets activities
· Liaise with the compliance monitoring department to help define the scopes of their reviews.
· Assess impact of regulatory changes upon the business in regards to UK and overseas regulation
The successful candidate will ideally have a securities, investment banking or corporate finance background with knowledge of corporate finance activities, conflicts management, information walls, market abuse, insider dealing and investment research. You will be aware of current regulatory issues and possess excellent communication and interpersonal skills to deal with Senior Management in the UK and Abroad.
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.
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