Description
Mergers and Acquisitions Capital Markets Compliance Officer, Conflict, Equity and Debt Markets, Canary Wharf, 12 months
Tier One Investment Bank is looking to appoint An Experienced Compliance Officer to their offices in Canary Wharf, you will look at conflict resolution within the US and Asian capital markets in which my client engages, you will have a legal/regulatory background and good banking product knowledge
My client holds a leading position across the spectrum of investment banking products all designed to help their clients achieve their strategic objectives. They ranks in the top tier in nearly all major business segments and is a trusted advisor to their clients in every aspect of investment banking - from mergers and acquisitions and strategic advice to all aspects of capital-raising, such as Equity Capital Markets, Debt Capital Markets and Leveraged Finance.
The team consists of professionals with expertise across the range of industries and products. Leading global equity and fixed-income sales and trading desks further support their global Investment Banking efforts. The Conflicts Group is responsible for reviewing all new banking transactions, including pitches, substantive client discussions and receipt of confidential information, for the purpose of determining if there could be a real or perceived conflict of interest with other banking activities from across the firm.
They liaise with the whole community of bankers and with other groups such as the Legal and Compliance department, Auditors, and other Conflicts Officers in Americas, Switzerland and APAC.
The successful candidate would be responsible for receiving notification of new banking transactions, pitches, discussions with clients, material updates to transactions, etc. from the banking community (both senior and junior members), registering those situations in the global Conflicts system and reviewing all other relevant information in the system (and elsewhere) to determine if a potential conflict of interest might exist, then working with bankers, management, Legal/Compliance, and other Conflicts Officers to address any potential issues.
The successful candidate will get all the necessary training and on-going support from senior managers.
Typical responsibilities may include:
- Reviewing and recording all new business/transactions in IBCM (advisory, underwriting and lending) and various other parts of the Firm to identify and address potential conflicts of interest from a business, client or legal perspective
- Liaising with group management, Legal, Compliance and others to resolve potential conflicts of interest, determine recommended course of action, coordinate any required approvals for special situations and confirm adherence to conflicts policies
- Working with group heads to screen potential transactions and help determine the preferred business opportunities for the firm to pursue
- Providing regular reporting to management about new transactions, pitches, discussions, etc., to help coordinate new business and allocate resources
- Maintaining a central database of transactions, conflict situations, discussions, resolutions, etc. for tracking and audit purposes, providing regular reporting of conflicts metrics to management and conducting reconciliations of conflicts records to other systems to verify data integrity
- Serving as a primary contact for sensitive and confidential transaction information for various parts of the Firm (Control Room, Litigation, Compliance, etc.)
- Managing various group administrative functions such as conflicts training, new product development, audit coordination, new joiner/group onboarding, etc.
You offer
- Good basic education, degree preferred but not required
- Basic familiarity with investment banking transaction (ie, mergers/acquisition, underwriting and lending)
- Ability to communicate effectively via email, phone or face to face at all levels (from junior employees to Managing Directors)
- Strong attention to detail, ability to prioritise work, multi-task and act with a sense of urgency and responsiveness to all inquiries
- Excellent organisational and people skills
- Good interpersonal skills, ability to develop relationships with internal clients to understand and address their needs
- Ability to work on his/her own initiative with a resilient attitude and after sufficient training, to independently address potential conflict issues with minimal support from more senior group members
- Experience in the financial services industry or legal firm, while desirable, is not essential
- The ability and flexibility to work US/Asia hours to give direct lines of communication.
- MS Office skills are required
If you wish to apply for the above position, please call me or email
Please be advised if you haven't heard from us within 24 hours then unfortunately your application has not been successful on this occasion, we may however keep your details on file for any suitable future vacancies and contact you accordingly. Adecco is an employment consultancy and operates as an equal opportunities employer.