- Salary£70k - £100k Yearly
- LocationLondon, London
- SectorInvestment Banking/Stockbroking
- PublishedAugust 20th 2012
Compliance Advisory Opportunity to work for Top Tier Investment Banking Institution.
- To operate within the [Origination and Financing] Compliance team providing day-to-day advice and compliance support to the EMEA Structured Capital Markets (SCM) business.
- Provide support to Structured Capital Markets (SCM) to ensure compliance with applicable rules and regulations, specifically regarding broker-dealer and banking issues.
- Mitigate regulatory and reputational risk by providing on-going advice regarding complicated multi-entity transactions.
- Organize and track multi-jurisdictional transaction activity to allow team to proactively manage risks.
- Interface with other Compliance teams to provide proper coverage depending on product area.
- Assist with creating supervisory infrastructure to help SCM managers better understand how to supervise their businesses, which may include surveillance development.
- Assist Global colleagues with cross-border transactions.
- Conduct training on relevant regulatory matters.
Skill Set Required:
- Degree level academics.
- Proven background working in a Compliance Department/SRO/Legal experience, specifically for Equities, Derivatives, or Tax
- Demonstrated interpersonal and communication skills that will enable you to interact effectively with business and compliance personnel at all levels of the firm.
- Strong team player.
- Strong compliance advisory background.