Description
Compliance OfficerA Compliance Officer is required by a Top Tier Investment Bank to provide advice and support on compliance and regulatory matters. The Compliance Officer position will have a strong focus on Corporate Finance so the suitable candidate will need previous experience of key nominated business areas such as ECM, DCM, Leveraged Finance, Research and Financial Promotions.
The Compliance Officer will require a good understanding of local Compliance policies as they will be providing advice and guidance on regulatory and day to day matters as well as Compliance and Regulatory Risk assessments (escalating where need be). A large part of the day to day responsibilities of the Compliance Officer will be assisting with the development and implementation of Compliance policies and procedures to reflect the regulatory obligations of the business.
To be suitable for this position the Compliance Officer must possess a good understanding of local compliance policies, the ability to pro-actively liaise with the Front Office at a practical level and be able to analyse and interpret regulations.
If you possess the above background please do not hesitate to contact me.