http://www.complinet.com/recruitment/jobs/job/list/LocationID/147Compliance Complete Recruitment1328786951http://www.complinet.com/recruitment/jobs/job/details/id/35510Investment Banking/Stockbroking | 80k - 100k Yearly | <p>Our client has areas of coverage across investment banking, asset management and specialized finance. The Investment Bank is expanding its corporate finance, sales and research operations and is looking for a compliance officer to head up this area in Dubai.</p> <br/><p>The role will require strategic input into several key areas and will be operate at a senior level covering all areas of regulatory work. Working closely with the Global Head of Compliance in London and COO in Dubai.</p> <br/><p>Key tasks will be:</p> <br/><ul> <br/><li>Day to day advice on sales and trading and operational issues.</li> <br/><li>Approval of investment research and marketing material.</li> <br/><li>Assistance to corporate finance including wall crossings and conflict management issues; advice on DFSA and DIFC rules and regs</li> <br/><li>Advice on management of conflicts of interest. Maintenance of Grey and Restricted lists. </li> <br/><li>Review and approval of new products. Due Diligence. AML checks.</li> <br/><li>Assessment of any proposed regulatory changes. New employee inductions and training.</li> <br/><li>Significantly upgrade policies and procedures/ controls.</li> <br/><li>Conduct risk based transaction and theme based monitoring</li> <br/><li>Undertake disclosures and review of announcements and press releases.</li> <br/><li>Assist with improvement of management information/reporting.</li> <br/><li>Assist with routine regulatory notifications.</li> <br/></ul> <br/><p> <strong><span style="text-decoration: underline;">Background and Qualifications</span></strong><strong></strong></p> <br/><ul> <br/><li>The candidate will have been in a senior advisory role providing advice and support to corporate finance, research and sales and trading divisions. </li> <br/><li>Must be familiar with DFSA rules</li> <br/><li>Must be proactive and collegiate in approach and be willing to assist the business and help it grow. </li> <br/><li>Candidate will have a good track record with investment banks and/ or securities houses and be educated to degree level.</li> <br/><li>This is an exciting opportunity with a varied workload, offering close interaction with the business and exposure to senior management. </li> <br/></ul> <br/><p> </p> <br/><p>If you are interested in finding out more about this role. Please contact Richard Aldridge on +44 2033015822 by phone or richard.aldridge@blackswangroup.com</p>1328551649http://www.complinet.com/recruitment/jobs/job/details/id/35410Investment Banking/Stockbroking | 80k - 100k Yearly | <p>Our client has areas of coverage across investment banking, asset management and specialized finance. The Investment Bank is expanding its corporate finance, sales and research operations and is looking for a compliance officer to head up this area in Dubai.</p> <br/><p>The role will require strategic input into several key areas and will be operate at a senior level covering all areas of regulatory work. Working closely with the Global Head of Compliance in London and COO in Dubai.</p> <br/><p>Key tasks will be:</p> <br/><ul> <br/><li>Day to day advice on sales and trading and operational issues.</li> <br/><li>Approval of investment research and marketing material.</li> <br/><li>Assistance to corporate finance including wall crossings and conflict management issues; advice on DFSA and DIFC rules and regs</li> <br/><li>Advice on management of conflicts of interest. Maintenance of Grey and Restricted lists. </li> <br/><li>Review and approval of new products. Due Diligence. AML checks.</li> <br/><li>Assessment of any proposed regulatory changes. New employee inductions and training.</li> <br/><li>Significantly upgrade policies and procedures/ controls.</li> <br/><li>Conduct risk based transaction and theme based monitoring</li> <br/><li>Undertake disclosures and review of announcements and press releases.</li> <br/><li>Assist with improvement of management information/reporting.</li> <br/><li>Assist with routine regulatory notifications.</li> <br/></ul> <br/><p> <strong><span style="text-decoration: underline;">Background and Qualifications</span></strong><strong></strong></p> <br/><ul> <br/><li>The candidate will have been in a senior advisory role providing advice and support to corporate finance, research and sales and trading divisions. </li> <br/><li>Must be familiar with DFSA rules</li> <br/><li>Must be proactive and collegiate in approach and be willing to assist the business and help it grow. </li> <br/><li>Candidate will have a good track record with investment banks and/ or securities houses and be educated to degree level.</li> <br/><li>This is an exciting opportunity with a varied workload, offering close interaction with the business and exposure to senior management. </li> <br/></ul> <br/><p> </p> <br/><p>If you are interested in finding out more about this role. Please contact Richard Aldridge on +44 2033015822 by phone or richard.aldridge@blackswangroup.com</p>