Senior Manager, Advisory Compliance, Capital Markets recruitment
The responsibilities of the individual in this position include: Support primary contact for nominated business areas. Undertake or assist with ad hoc project work, investigations/reviews, providing analysis and making recommendations. Answer queries from the business around applicable regulations, exchange rules and internal compliance policies and procedures. Undertake desk reviews of nominated business areas and assist with or lead, as required, reviews of specified aspects of business activity across the firm. Act as primary contact for specified areas for certain regulators, exchanges Read more […]
Advisory Compliance – Debt Capital Markets recruitment
Advisory Compliance – Debt Capital Markets – LondonMy client, a major financial institution, is seeking an experienced manager to act as the compliance advisory partner to teams within the Capital Markets business. Sitting within the Private Side Advisory team, the successful candidate will form an integral link to the other compliance teams to ensure that regulatory risks within the teams on the private-side of the Chines e wall are understood, monitored and appropriate risk mitigation strategies developed. You will be reporting directly to the head of Advisory Compliance.Responsibilities:• Read more […]