Head of Compliance – Investment Bank

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Black Swan Group
  • 29 Mar 19

Our client an International Investment bank are looking for a head of Compliance to hold SMF16 and take the lead on Compliance for the region.

The role will require strategic input into several key areas and will be operate at a senior level covering all areas of regulatory work. Working closely with the Global Head of Compliance. The successful candidate will take responsibility across investment banking business lines.

Key tasks will be:

  • Day to day advice on sales and trading and operational issues.
  • Advice on management of conflicts of interest. Maintenance of Grey and Restricted lists.  
  • Review and approval of new products. Due Diligence. AML checks.
  • Assessment of any proposed regulatory changes. New employee inductions and training.
  • Significantly upgrade policies and procedures/ controls.
  • Conduct risk-based transaction and theme based monitoring
  • Undertake disclosures and review of announcements and press releases.
  • Assist with improvement of management information/reporting.
  • Assist with routine regulatory notifications.

 Background and Qualifications

  • Previously held the CF10/SMF16, acted as a deputy Head, or experience in an Investment Banking advisory role at a senior level.
  • Understanding of investment banking product lines and applicable regulation.
  • Must be proactive and collegiate in approach and be willing to assist the business and help it grow. 
  • Candidate will have a good track record with investment banks and/ or securities houses and be educated to degree level.
  • This is an exciting opportunity with a varied workload, offering close interaction with the business and exposure to senior management. 

If you are interested in finding out more about this role. Please contact Chris Roots on +44 2033018714 by phone or chris.roots@blackswangroup.com