Currently recruiting a private side compliance advisor (ECM, DCM and M&A) to work with a mid-cap American IB based in the heart of the city. My client is looking for someone to act as a vital support function to the business supporting regulatory best practice across the European business.
The Primary responsibilities and objectives of the role will be to;
- Provide timely and accurate advice across regulatory matters affecting the CIB.
- Represent Compliance internally as business and committee meetings, providing constructive input with regards to regulatory matters.
- Ensure primary market regulations such as FCA Handbook (LR), AIM Rules and Takeover Codes are kept updated.
- Assist with other compliance duties (monitoring, control room, surveillance and Financial Crime), working with other members of staff to ensure a fully joined up compliance program.
- Oversight & challenge of deal files, pitch book and marketing communications – this will include reviewing documentation requirements under MiFID II
- Take the lead on product governance
- Provide Ad-Hoc support to other members of the team which may be under more deadline pressure.
If you would like to know more about this role or anything else we are currently recruiting for please reach out to Jake Wyatt at Holmes Search.