Head of Equities Compliance

Head of Equities Compliance London £Market Rate

THE COMPANY:

Our client is a boutique Investment Bank with a strong market reputation. They are currently looking to recruit a new member of their compliance team to focus on Equities. This is a fantastic opportunity to join a growing firm in a senior role and to help the business to grow.

THE RESPONSIBILITIES:

• Provide compliance coverage for the Equities business, with particular focus on Equity Capital Market Origination and Corporate Broking,
• Develop close working relationships with the banking teams
• Strengthen a culture of compliance by providing guidance and education to sensitise bankers to compliance and risk mitigation matters
• Ensure consistency of approach and cross-border coverage
• Provide a reputational and operational risk perspective
• Liaise with internal and external business partners to developand implementchanges and improvements to current policies and procedures

EXPERIENCE REQUIRED:

• Have a deep understanding of the investment banking and capital markets product, services and processes
• A desire to drive the business forward

For further information please contact Duncan Jeffery

Compl3554

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