In-House - Compliance Officer - Leading Global Bank - London
- Recruiter
- The Stephen James Partnership
- Location
-
London (Central), London (Greater) (GB)
London (Central)London (Greater)
- Salary
- Competitive based on experience
- Posted
- 18 Sep 2020
- Closes
- 15 Oct 2020
- Job Title
- Head of Compliance
- Category
- Legal
- Contract Type
- Permanent
- Hours
- Full Time
The Client
We are working with a leading global financial institution, with offices across America, Europe and Asia.
The London office requires a compliance officer to join their in-house legal team. The role is at the Vice-President level, and primarily involves Corporate Affairs matters.
The Role
As part of the compliance/legal department, the successful candidate will be responsible for:
We are working with a leading global financial institution, with offices across America, Europe and Asia.
The London office requires a compliance officer to join their in-house legal team. The role is at the Vice-President level, and primarily involves Corporate Affairs matters.
The Role
As part of the compliance/legal department, the successful candidate will be responsible for:
- Supporting the Investments and Trading Compliance team in providing qualitative compliance advice to the Alternatives, Fundamental Equity and Capital Markets businesses ensuring that regulatory issues are properly dealt with or escalated appropriately;
- Representing Compliance throughout the Product Development process of Alternatives products, including review of fund documentation and provision of regulatory advice as it relates to conflicts of interest, risk factors and legal structure considerations;
- Provision of timely advice in respect of MAR and inside information;
- Partnering with Legal and the Investment teams to provide regulatory advice and support on transactional matters;
- Drafting and maintenance of policies and procedures;
- Active participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives;
- Contributing to the creation of management reporting and communication on Compliance matters to senior management, corporate boards, business stakeholders and business Oversight Committees;
- Designing and delivering effective regulatory training initiatives to the business.
- Strong previous experience
- Experience in corporate governance matters is essential
- In-house experience including secretarial work is preferred