Hays Specialist Recruitment posted a job you might be interested in February 26, 2014 at 03:47PM

Hays Specialist Recruitment



Research Compliance Officer - VP/ Director

London, United Kingdom, GB - Banking

* Develop and manage effective working relations with EMEA Research and Investment Banking (including Corporate Broking and Capital Markets) management/teams and support managers.

* Chaperoning internal communications between Investment Banking and Research

* Provide guidance, review and approve pre-deal equity research in EMEA. This involves liaising with Research Management, the vetting Research Analyst, Research Editors, Supervisory Analyst and internal & external legal counsel.

* Provide day to day advice to Research Management and team based on regulatory and internal policies.

* Work closely with international Research Compliance and Legal teams to ensure consistency in approach and best practices.

* Liaise and provide guidance to EMEA Legal & Compliance colleagues, particularly the Control Room, Investment Banking Compliance EMEA and other regions in respect to EMEA Research matters.

* Investigate regulatory issues and breaches, advise Research management and liaise with legal counsel with respect to such issues. Assist in managing regulatory enquiries

* Assist with the development of new and/or update existing Monitoring & Testing items for EMEA Research Compliance Program from a local and global perspective.

* Review Research Compliance policies and ensure it is consistent with global and local regulatory practices. This involves taking the lead and co-coordinating with the respective Country Compliance colleagues for local regulatory input on global Research policies.

* Provide guidance and training to the junior team members.

* Manage Research internal audits from a Compliance perspective



The Candidate:



* Substantial experience of Research Compliance or Control Room, or Research Department business or operational role (such as a Supervisory Analyst).

* Strong knowledge in Equity (particularly pre-deal research), Fixed Income and Macro research products.

* Excellent interpersonal skills and ability to interact with people from different areas at all levels of seniority.

* Ability to recommend solutions and deliver difficult messages as appropriate.

* Provide after office hours and weekend support as required.

* Detail oriented, organised, very proactive and responsible.

* Team player.

* The ability to work in a pressurised environment with tight timelines required.

* Demonstrable management skills.

* Good presentation skills.



This is an outstanding opportunity to join one of the pre-eminent banking groups in the world and play a significant role in the production of research, one of the most important functions in the bank. Your guidance, regulatory knowledge and analytical skills will be tested daily in a challenging and rewarding environment.

Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays.co.uk

£90000.00 - £120000.00 per annum + bonus



Posted February 26, 2014 at 03:47PM from LinkedIn http://ift.tt/1psTkr1

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