Head of Prime Finance Compliance - Prime Services, Banking

London  ‐ Onsite
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Description

Head of Prime Finance Compliance - Prime Services, Banking

For this reputable Investment Bank we are looking for a Head of Prime Finance Compliance. You will be a member of the Global Markets Equities Compliance team which covers Global Equity Trading, Global Equity Derivatives & Convertibles and Global Prime Finance.

Key Responsibilities:

  • Providing advice to GPF staff regarding applicable laws, rules, regulations and policies and procedures on a timely basis
  • Providing advice and guidance to two members of staff in the GPF Business Line Compliance Team
  • Advising the business on the establishment, improvement and documentation of their controls
  • Reviewing and opining on new business initiatives and transactions
  • Escalating transactions and issues to management where appropriate
  • Drafting and reviewing policies and procedures resulting from regulatory developments

You will have:

  • An understanding of securities, corporate and contract law with an up-to-date knowledge of the rules of at least one of the main lead regulators (eg FCA, PRA, BaFin or SEC)
  • In depth operational knowledge (trading through to trade confirmation) of relevant products (equities, structured transactions, equity derivatives, etc.)
  • The ability to interpret, understand and advise an appropriate course of action on a broad range of legal and regulatory provisions
  • A clear understanding of the compliance and legal issues impacting major investment banks
  • An ability to work with compliance colleagues in other locations
  • The ability to work independently with minimum direction, as well as work as part of a team
  • The ability to lead a team

Start date
ASAP
Duration
6 months
From
Alexander Ash Consulting Ltd
Published at
20.10.2018
Project ID:
1653060
Contract type
Freelance
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