Private Side Compliance Officer VP Level Private Side Compliance Officer VP Level …

Holmes Search
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
VP level salary and package
Holmes Search
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
VP level salary and package
Posted by:
Posted by:
Recruiter
To act as a vital support function to the private side business and to support Compliance best practices in Europe. This is a broad role in the private side covering transaction advisory, control room and research.

Required product knowledge to include:

 

  • Business areas: ECM & M&A, Research & dcm
  • Desirable Regulatory Knowledge: FCA UKLA LR & Aim rules (NOMAD)

 

Tasks and Responsibilities

 

  • Review and clearance of FI & Equity research products and sales commentary.
  • Chaperone communications between Research Analysts and Investment Banking personnel.
  • Maintenance of the Watch & Restricted List including reviewing and approving market soundings in accordance with MAR and conflict clearing Investment Banking transactions.
  • Provide accurate and timely advice and guidance on regulatory compliance issues affecting the Research and Investment Banking business.
  • Represent Compliance in internal business meetings and committees and provide constructive and effective challenge in respect of regulatory compliance and the associated risks.
  • Coordinating Compliance and the business activities on regulatory change with particular focus on updates to primary market regulations including: MAR, FCA Handbook (LR), Aim Rules, Takeover Code and other relevant regulatory matters.
  • Assistance with the Compliance Monitoring Programme across the firm and to follow up and verify implementation of recommendations that result from each compliance testing period once the relevant report has been approved by the Compliance Officer.
  • Oversight & challenge of deal files, due diligence, pitchbooks and marketing communications – to include looking at all the documentation requirements under MIFID 2 like product governance, allocations, placing & underwriting etc. and testing it has been done correctly.
  • Reviewing deal committee papers, ensuring that all relevant documents are received or issues raised in advance of take-on.
  • Maintenance and drafting of policies and procedures.
  • Other ad-hoc Compliance tasks and projects at the discretion of management.

 

Requirements

  • Working closely with the business and being responsible to your internal and external clients
  • Working independently and being a collaborative team member to create and share your team’s vision on an ongoing basis
  • Previous compliance experience, working within Investment Banking
  • Analysis of situations and exercising good judgment in structuring and organising work, setting priorities and being flexible to respond to changing demands and the company’s risk profile
  • Self-motivated and self-aware with a commitment to ongoing personal development
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