Corporate Finance Compliance Officer

Job type:
Start date:
6 Months
Published at:
flag_no United Kingdom
Project ID:

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Corporate Finance Compliance Officer

Compliance Officer,

Vice President of Compliance Advisory,

Senior Compliance Advisor,

Corporate Finance,

Compliance Manager,



My client, a leading Global Bank, are looking for a Corporate Finance Compliance Officer to join their London office on a long-term contractual basis.

The main responsibilities of the Corporate Finance Compliance Officer will be:

To provide advice and support on compliance and regulatory matters to Front Office businesses within APM, Relationship Banking and other support functions in connection with the bank's London business activities.

- To deal with a wide variety of ad hoc requests including (but not limited to) providing advice and guidance to nominated business areas on regulatory matters.

- Dealing with day-to-day queries including but not limited to:

Reviewing new product and business transactions and proposals; reviewing and investigating queries; carrying out internal investigations.

- To provide advice on information handling including:

inside information, confidential information, commercially sensitive information.

- Periodically undertake Compliance risk assessments of nominated business areas and assist with or lead, as required, Compliance reviews of different aspects of business activity across firm, as directed.

- Undertake or assist with ad hoc project work, providing analysis and making recommendations, as required or directed.

- Assist in the development of training materials and carry out Compliance training, as directed.

The ideal Corporate Finance Compliance Officer will:

- Have expert Corporate Finance knowledge - in order of importance

1) Capital Markets ECM/ DCM 2) Loans, and 3) Leveraged Finance

- Thorough knowledge of FCA Handbook and Code of Conduct

- Practical knowledge of regulations including Market Abuse Regulations (MAR), MiFID, MiFIR

This is an exciting opportunity to join a long-term programme with extensions expected for successful candidates.

If you are interested in this Corporate Finance Compliance Officer position and meet the requirements above then please apply immediately as the client is looking to move quickly.

(Informally you can call this a Senior Compliance Advisor for Corporate Finance)

C&M (Corporates & Markets), Corporate Finance, Compliance Officer, Compliance and Regulatory, Front Office, APM, Relationship Banking, Transactions and proposals, Investigations queries, Inside information, Confidential information, Commercially sensitive information, Compliance Policies

To find out more about Orgtel please visit

Orgtel, a trading division of SThree Partnership LLP | Registered office | 1st Floor, 75 King William Street, London, EC4N 7BE, United Kingdom | Partnership Number | OC387148 England and Wales