My client are a leading Investment Bank with offices around the world. They operate in the ECM and DCM arena and provide various financial services including M&A, merchant banking and credit products.
Provide support within the Compliance function in its wide range of activities; working as part of a small team, focusing on providing Advisory Compliance support to the Capital Markets business in Europe.
- Provide pro-active & reactive guidance to the Capital Markets business
- Assisting the business in identifying and managing emerging regulatory risks
- Undertake, support and participate (as required and with appropriate guidance and support) Compliance Monitoring and Testing activities
- Track and follow up actions identified as a result of the Monitoring & Testing review work
- Review & assess results of the Global risk assessment process & provide input for the Capital Markets Europe business
- Input into regional & global MI reports / dashboards
- Creation & delivery of training materials to Capital Markets on ‘hot topics’ / new regulation
- Supporting Compliance driven projects and delivering on items of the Compliance Roadmap
- Supporting other Compliance teams on certain processes (i.e. surveillance) to ensure adequate cross coverage when others are absent from the office
- Previous experience working in an Advisory Compliance role
- Product knowledge; one or some of - Cash Equities, Equity Derivatives, Structured Products, Rates, FX, Precious Metals
- Good communication skills
- Self-starter and strong team player
Duncan Jeffery 020 3794 4432