A boutique investment bank in the west end is looking to grow their compliance function in London. Reporting to the head of compliance the role will be broad and cover a range of topics. The organisations business is focused around IPO and M&A work with some sales and trading operations.
- Keeping up to date on the regulatory environment communicating any potential impact on the business.
- Ensuring controls and policy are in line with regulatory requirements. Enforcing this by undertaking continual monitoring reviews and making recommendations to improve effectiveness.
- Central compliance tasks; PA Dealing, registrations & training.
- Communicating compliance MI to senior management.
- Supporting the head of compliance with their day to day activities.
- Adhoc project work.
- Experience in a banking financial services environment would be desirable.
- FCA handbook knowledge is desirable.
- Self starter and excellent attitude to their work.
- Able to liaise with stakeholders of all levels and maintain credibility.
- Calm under pressure