Capital Markets Compliance Advisory - DCM

Our client is a global bank covering all asset classes. They are looking to recruit a DCM advisory Compliance Officer which will be an excellent opportunity for an accomplished compliance professional to provide regulatory support for the Firm's developing business requirements within Corporate Markets. You will be expected to support the group and ensure that compliance policies and processes are in place and meet the operational needs of the department.

The role will require strategic input into several key areas and work closely with new hires within the business at a very senior level. Key tasks will include;

• Provide Compliance coverage to Capital Markets & Advisory, Structured securitisation, Conduit and Structured Credit Investments


• Acting as the primary contact for internal client inquiries, requests and ad hoc projects relating to covered business areas


• Identifying potential areas of compliance risk and developing action plans for resolution


• Ensuring employees are in compliance with the rules and regulations, that Bank policies and procedures are being followed


• Directing / Escalating compliance issues to appropriate resources for investigation


• Providing daily regulatory advice and guidance regarding regulations and internal polices


• Reviewing proposed, new and revised rules and regulations


• Drafting and implementing new policies and procedures and update existing policies and procedures


• Support the Control Room in managing wall crossings and conflicts


• Conducting reviews of and preparing responses to regulatory requests and inquiries


• Conduct training on relevant regulatory matters for business units


• Assisting with annual regulatory risk assessment exercise Responding to regulatory inquiries and investigations


• Ensure compliance with the Bank's procedures and guidelines together with all relevant regulatory and statutory requirements where appropriate implementing actions to protect the Bank's business at all times.

This is challenging role that will involve a mix of regulation and management in a demanding environment. The Key Capabilities/ Knowledge required are as follows:

• Knowledge of the FSA Rules


• Understanding of the Information Barrier structures in a large multi service institution


• Understanding of legal regime within which product areas operate


• Understanding of the product areas (inc. Corporate DCM, Financial Institutions DCM, Bond Syndication, Debt Advisory, Loan Markets, Secondary Loan Syndicate)

If you are interested in finding out more about this role. Please contact Aaron Bolton on 02033016303 by phone or aaron.bolton@blackswangroup.com. Alternatively contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com

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