Boutique IB

3 weeks ago


London, Greater London, United Kingdom Investigo Full time
Boutique IB - Head of Compliance, SMF16, EXCO, C-Suite

Senior Consultant - Compliance - Banking and Financial Services at Investigo

We are looking for a Head of Compliance for a boutique Investment Bank. Reporting to the CEO and with a dotted line into the board the role takes responsibility for all aspects of Compliance and manages a team (including the MLRO).

Responsibilities:

  • Manage the Compliance team, taking responsibility for strategy for the function.
  • Ensure ongoing compliance with applicable UK/EU regulation.
  • Ensure effectiveness of Compliance framework and monitoring program.
  • Maintain and review the firms policies and procedures.
  • Horizon scanning for new regulation and its potential impact
  • Responsibility for managing regulatory relationships
  • Advice to investment banking business lines.
  • Participate in governance committees and wider firm management
  • Ensure appropriate employee training and certification.

Requirements

  • Proven senior experience in Compliance
  • Experience of Investment Banking
  • Experience of managing a team

For details please get in touch

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