Our Client, a leading NOMAD firm, are looking for a talented Compliance Advisory Lead to join their team as an SME in regulatory compliance, assisting the Head of Compliance in providing an effective second line of defense and in delivering the Compliance Plan.
Key Responsibilities:
* Provide a proactive and expert advisory service to all areas of the Firm regarding regulatory matters including Corporate Finance, Corporate Broking, Sales, Trading, Research and M&A.
* Contribute to transaction governance processes in line with the firm's regulatory and reputational risk tolerances - e.g. new business committee proposals, supervisory committees to identify and manage regulatory issues.
* Provide advice on routine matters such as wall-crossings, gifts & entertainment, conflicts of interest, identification and management of inside and confidential information and ensure processes running smoothly.
Key Requirements:
* Significant, demonstrable regulatory compliance experience within the investment banking / broking sector (minimum of 7 years' Compliance experience).
* Experience of providing advice on Compliance matters and Control Room operation.
* Detailed knowledge of the UK regulatory framework including but not limited to FCA Rules and Guidance including SYSC, COBS, MAR, LR, DTR.
This is a
permanent
position, offering hybrid working. If this role sounds of interest, please apply with your most recent CV.