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VP/ED Compliance Officer, Investment Banking & Research Advisory, EMEA
Our client a leading I.B are looking for a senior compliance individual to help run the private side compliance team. This is a comprehensive Compliance coverage role providing Compliance advice and support to the firms investment banking and Research businesses including:
Transaction advice across a board range of investment banking products and services, including the management of confidential and inside information
Compliance support across applicable regulations and supporting regulatory change, such as Market Abuse Regulations (Insider Lists, Market Sounding etc) and MiFID
Leading the delivery of training to IBD and Research, including annual, induction and bespoke training
Supporting the Private Side Compliance team initiatives, including review, creation and development of policies and procedures
Monitoring and review of business compliance with relevant policies and procedures
Preparing Compliance Management Information for senior management within the firm
Engagement with Front Office Supervision and Conduct Risk programs as appropriate
Working closely with the regional and global private side Compliance team members and also with business management on business change initiatives with Compliance impact
Working closely with other risk and control functions to facilitate a cohesive control environment
For further information please do not hesitate to contact Ben Harris on: firstname.lastname@example.org
Morgan McKinley is acting as an Employment Agency in relation to this vacancy.
Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.