Local Knowledge Global Resources Specialist Consultants

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Senior Compliance Advisory – Broking / Corporate Advisory

Location: London, England, United Kingdom

Salary: c. £500-600p/day

~~Our client, a niche securities and advisory firm focusing on the small-mid cap corporates space, are recruiting a senior compliance advisory professional on an interim basis. 

You will be responsible for providing compliance advice to the business on a range of regulatory rules and requirements, related to the core business of corporate finance and broking; specifically in the Small – Mid Cap Corporate space.  You should have experience working within a Securities firm or Investment bank, with specific knowledge of AIM rules and the requirements of firms acting as a NoMAD.

You will also advise on control room issues, including the effective use of internal ‘Chinese walls’ where necessary.