My client are a specialist investment banking organisation based in London. They are part of a larger financial services provider
With the Head of Compliance, the Advisory team provide services to the business to ensure compliance with internal and external rules and regulation and policy and procedure
Provide high quality Compliance support to the business and the firm on all related and applicable rules, regulatory matters and firm wide policies and procedures, with a primary focus on public side securities businesses including Equity and Fixed Income Sales and Trading;
Take responsibility for being a Compliance lead on Compliance projects and regulatory change work-streams, primarily converging on those regulatory change initiatives which may impact public side securities businesses. Providing regulatory input and ensuring sensible outcomes and deliverables;
Identifying regulatory trends and developments advising the public side areas as to how their current activities may be impacted. Working with the business to implement any required changes to current policy and practices.
Take responsibility for key deliverable items from the strategic book of work, ensuring timely and effective delivery; and
Proactively consider, act, and where appropriate, suggest Compliance initiatives which would have a positive impact on the Compliance Department, other teams or the company in general.
Advisory compliance experience from a Fixed Income sales and trading background is a must