Leading global financial institution seeking an experienced Compliance Officer to join its EMEA Investment Banking Compliance team on an initial 3-month contract paying up to £750 a day.
The role sits within the Private Side Compliance function, providing business-facing Compliance advice and support to Investment Banking across a broad range of transactions and activities.
Key responsibilities
- Providing Compliance advice on live Investment Banking transactions, including conflicts, licensing, reputational and regulatory considerations.
- Advising on information barriers, watch/restricted lists, confidential information and wall crossings.
- Supporting the business on MAR, insider lists, market soundings, MiFID and wider European and US regulatory requirements.
- Working closely with Front Office and Business Management to identify, assess and escalate Compliance issues.
- Supporting Front Office Supervision, Conduct Risk and regulatory change initiatives.
- Contributing to policies, procedures, training, monitoring and Compliance MI.
- Working with regional and global Compliance teams on business and regulatory change.
About you
- Strong experience within Investment Banking Compliance, Private Side Compliance, IB Advisory or Control Room Compliance.
- Hands-on experience providing transactional and business-facing Compliance advice.
- Strong understanding of information barriers, wall crossings, conflicts, restricted/watch lists and inside information.
- Good knowledge of MAR, MiFID and wider European/US regulations relevant to Investment Banking.
- Comfortable working directly with Front Office stakeholders and making pragmatic decisions under tight deadlines.
- Strong communication, influencing and stakeholder management skills.
- Experience within a major investment bank, exchange or regulator would be beneficial.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
Private Side Compliance Officer in London employer: Robert Walters Careers
Join a leading organisation in Walsall that values its employees and fosters a collaborative work culture. As a Group Financial Controller, you will benefit from competitive salary packages, opportunities for professional development, and the chance to make a significant impact on the company's financial strategy. With a commitment to compliance and efficiency, this role offers a rewarding environment where your expertise will be recognised and appreciated.
