Compliance - Vice President
Post Date : 15 February 2017
A leading international bank seeks a Compliance Officer to focus on the Capital Markets and Investment Banking.
My client is looking for an experienced international candidate to join its Compliance team. The candidate will have a regional remit and will work closely with the senior compliance and legal teams. Candidates must come from a top tier investment banking compliance environment.
- Compliance support and advice on investment banking, capital markets and research compliance issues, e.g. ECM, DCM, M&A, and Corporate Broking transactions.
- Drafting and/or updating compliance policies and procedures covering investment banking, capital markets and research.
- Responsibility for supporting the coverage of Credit, Securitised Products, Leveraged and Acquisition Finance, Fixed Income Capital Markets (FICM) and Interest Rates.
- Advise and guide the business on various aspects of regulatory compliance risk, including conflicts management and control of information, and proactively engage with senior business management.
- Deep compliance knowledge of Investment Banking products - Swaps, Structured FX, Notes and other OTC products.
- Review and approval of investment banking or capital markets transactions or marketing materials as necessary.
- Responding to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating, recommending the initiation of and/or carrying out investigative procedures.
- Identifying potential areas of compliance vulnerability and risk; developing/implementing corrective action plans for resolution of problematic issues, and providing general guidance on how to avoid or deal with similar situations in the future.
- Responding to ad hoc regulatory enquiries involving investment banking, capital markets and research - regular interaction with the FCA, UKLA and LSE.
- Providing assistance in staff training e.g. induction sessions for IB or research new employees.
- Ad hoc compliance tasks and projects as necessary.
- Top Tier Investment Banking Compliance Experience is a must
- Experience within investment banking, corporate banking and Capital Markets
- Experienced understanding of the regulatory universe in which companies operate, including FCA and DIFC rules and Regulations as well as Central Bank regulations in the UK
- Good understanding and knowledge of investment banking, corporate banking and Capital Markets Trading products business;
- Investment banking dealing room exposure. Knowledge of M&A transactions and the ability to make decisions on transactions.
- Has to be able to work autonomously, hands on, seasoned and mature.
- Be able to work under tight deadlines.
- The ability to communicate with the business and senior stakeholders at all levels in an articulate and confident manner.
Salary and Benefits
AED40000 - 45000
Gate Village 1, Level 1