Compliance - Vice President

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Location : Dubai
Post Date :

Description :

The Company

A leading international bank seeks a Compliance Officer to focus on the Capital Markets and Investment Banking.

The Role

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.

The Candidate

  • 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

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Dubai International Financial Centre (DIFC)
Gate Village 1, Level 1
Phone : +971 (0) 4 382 6700

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