Compliance Officer

3 weeks ago

London, United Kingdom Resource Solutions Full time

Job title: Compliance Officer - Vice President (Control Room)

Location: London

**Opportunity Overview**:Working as a member of the Private Side Compliance team (which includes the Control Room and Investment Banking & Research Advisory Compliance), you will have responsibility for providing Control Room services and supportto the IB, Global Markets, Research and Corporate departments in EMEA.

**Key Responsibilities**
- Transaction advice, including conflicts analysis across a broad range of investment banking products and services
- Facilitation of processes and provision of advice relating to information barriers, watch lists, restricted lists, wall crossings, conflicts of interest, trading, research clearance and vetting requests and related issues
- Business advice regarding the management of confidential information and inside information
- Compliance support across applicable regulations and supporting regulatory change, such as Market Abuse Regulations (Insider Lists, Market Sounding etc.) and MiFID
- Provision of training to Business and Corporate areas on key Control Room and IB-related topics
- Supporting the Private Side Compliance team initiatives, including review, creation and development of policies and procedures
- Monitoring and review of business compliance with relevant policies and procedures
- Working closely with the regional and global private side Compliance team members and with business management on business change initiatives with Compliance impact
- Assisting with regulatory inquiries and interacting with regulators in relation to investigations related to information barriers/insider trading as well as assisting in the maintenance of internal policies and procedures

**Requirements/Qualifications**
- 4-5 years of control room experience
- Relevant Compliance experience at a major investment bank, at an exchange or regulator
- A good overview of all aspects of Control Room activities, particularly regulations and best practices concerning information barriers and the ability to communicate these effectively throughout the organization as well as the ability to establish strongcontacts within the industry

**Company Overview**

Our client is an Asia-based financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Our client services the needs of individuals, institutions, corporates and governments through its threebusiness divisions: Retail, Asset Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership.

If you are someone who is seeking that next challenge, and you have the experience and skills required, then please send me your CV.

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