Compliance Executive – Investment Banking Experience Required

Our client, a leading International Investment Bank, seeks a junior compliance executive for its Capital Markets advisory team. Reporting to a senior member of the advisory team, duties will include;

• Researching and evaluating applicable regulatory and exchange requirements in order to advise business managers of key impacts and requirements.
• Devising, updating and implementing compliance processes, procedures and documentation consistent with relevant rules and regulations of regulators and exchanges.
• Responding to ad hoc requests for information from FSA, other regulators and exchanges arising from time to time.
• Supporting and participating in compliance desk reviews undertaken by Central Compliance that impact on various Capital Markets business lines to monitor the firm’s compliance with regulations and industry standards
• Assisting in ad hoc projects as and when they arise

The successful candidate should be graduate calibre and ideally have at least 18 months compliance experience within investment banking with good product knowledge.

Please call Paul Stanczyk on 020 7330 6964 for a confidential no obligation chat about this position or send your details to him as below.

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Job presented by