This role provides day-to-day Compliance advisory services to the private-side Global Advisory (“GA”) Corporate Finance/M&A, Capital Markets and Investor Advisory divisions in the UK, Middle East, and parts of Austral-Asia. This role is in the GA Compliance team, reporting into the Head of Central Compliance and GA Compliance, and is located in London.
Providing compliance coverage of Corporate Finance/M&A, Capital Markets and Investor Advisory transactions in the UK, Middle East and parts of Austral-Asia.
Providing effective second line “check and challenge” to assist GA in meeting its conduct and regulatory obligations.
Participating in transaction-specific committees, including GA Risk, Due Diligence and Sponsor Take-On Committees.
Advising on regulatory requirements including, but not limited to, the FCA Handbook, MAR and MiFID.
Providing subject matter expertise in relation to the UK Takeover Code and Listing Rule 8, and supporting interactions with the UK Takeover Panel and the Sponsor supervision team at the FCA.
Providing input to Conflicts Compliance on enhanced (Rule 3 and Sponsor) conflicts reviews.
Advising GA on record-keeping aspects of the FCA Handbook, MAR and MiFID.
Advising on Group policies and procedures from a GA perspective.
Developing and delivering training.
Providing compliance support in the interpretation and implementation of new regulation.
Experience commensurate with a Vice-President or Assistant Director role, gained within the Legal or Compliance departments of an investment bank.
Corporate transactional experience of UK Takeover Code and FCA Sponsor transactions, gained in a top tier law firm, or compliance or COO function of a financial services institution would be an advantage.
Knowledge and understanding in relation to the UK Takeover Code, UK Listing Rules, the Transparency Rules, the Disclosure Guidance.