Hays Specialist Recruitment posted a job you might be interested in July 11, 2014 at 06:45PM

Hays Specialist Recruitment



Research Compliance officer

London, United Kingdom, GB - Banking

A major Corporate & Investment Bank is actively expanding their EMEA business and now seek a Research Compliance professional to provide regulatory guidance, support and review of their Equity & Fixed Income Research coverage.



This is a 'green field' role working alongside the Control Room and will provide you with the scope and autonomy to set out the framework for research clearance. You will be responsible for monitoring the flow of non-public information, helping to prevent issues such as insider trading or market abuse. From time to time you may also be called upon to provide compliance/ regulatory support to the Corporate Banking division (private side).



The Firm:



The bank is one of the top ten banks in the world (by balance sheet) and a household name. in the North American, APAC and EMEA regions. They are looking to expand the EMEA business as the Eurozone continues to improve. Despite being one of the world's biggest banks, they are renowned for their approach to a great work / life balance and strong team culture.



The Role:



With the assistance of US based colleagues, you will be creating an EMEA based research clearance function, which is responsible for the pre-approval of the publication of equity and fixed income research based on review of the firm's Watch List. The team will create the methodology for information barrier -related issues and resolution of client conflicts, as well as acting in an advisory role for all EMEA compliance issues. There will also be exposure to, and responsibility for, US based research clearance during non-US hours, as well as having the option for some help in private side advisory. Candidates will need to be able to stand on their own two feet, acting with little supervision, but with the support of a warm and collaborative team based in both London and the US.



The Candidate:



Candidates must have strong financial services experience and understanding of industry practices. They must possess a thorough knowledge of SEC '33 Securities Act and '34 Exchange Act laws and regulations as well as FINRA and applicable FRB and OCC rules and the Global Settlement. They must have Series 79, 63, 24 or ability to obtain them in a reasonable time period



This is a great opportunity to join one of the world's leading banks. The role offers a great career opportunity that is unique to the market. If you are interested in hearing more, or know somebody that may be suitable, please get in touch.

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

£60000.00 - £120000.00 per annum



Posted July 11, 2014 at 06:45PM from LinkedIn http://ift.tt/1nltJQy

via IFTTT