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