Complinet | Recruitment | Jobhttp://www.complinet.com/recruitmentjobs/job/details/id/11826Depending on exposure | Location: United Kingdom | Sector: Compliance & Regulation | Published: March 15th 2010 | <p>My client, a global investment bank is looking for compliance advisory candidate with solid equities exposure to join their team on the <strong>prime brokerage</strong> side and get involved in the following:</p> <ul> <li>Assisting line management in resolving compliance problems which arise in the agreed business units.</li> <li>Provide compliance input into the GM Due Diligence process and to respond within agreed timescales. </li> <li>To provide training to business areas in procedures and practices necessary to achieve compliance. </li> <li>To provide compliance support and expertise to other business units within Global Markets</li> <li>Liaising with auditors in relation to compliance matters</li> <li>Work within the Operational Risk parameters of Global Markets Compliance</li> </ul> <p>The ideal candidate will have the following:</p> <ul> <li>A good level of Sales and/or Trading compliance experience across products but specifically <strong>Equities, Futures & Options, Custody/CASS rules and FX </strong></li> <li>Knowledge of FSA and European rules in relation to <strong>trading and custody</strong></li> <li>Previous <strong>Prime Brokerage</strong> experience (with significant Equities compliance exposure)</li> </ul> <p>This team provides compliance coverage to Cash Equities Sales and Trading, Convertible Bonds, Execution Services, ECM, Equity Finance, Equity Derivatives and Gilts. This role will primarily focus on the compliance requirements of Prime Services but cross desk coverage is needed to work with the business on high profile projects to ensure that the regulatory demands of those projects are met.</p> <p>If you feel you have the relevant exposure to be successful in this role, please kindly send your details to michelle.myers@twentyrecruitment.com or call 0203-008-6639</p>