Hays Specialist Recruitment posted a job you might be interested in October 01, 2014 at 06:44PM

Hays Specialist Recruitment



Associate / AVP - DCM Compliance Advisory

London, United Kingdom, GB - Banking

The firm is a major provider of broker dealer services to significant institutional clients around the world with the London office acting as the centre of excellence for the lion's share of global business conducted outside North America.



The Role:



IBD compliance is a small team of specialists providing regulatory guidance and support to the M&A, ECM, DCM, Corporate Banking and Investor Solutions financing teams.



You will work alongside your colleagues with a principal focus on the Debt Capital Markets division (but supporting your colleagues where necessary providing pro-active compliance support in relation to regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters which impact covered businesses across the EMEA jurisdiction.



Key responsibilities:



* Providing general compliance and transactional advice throughout the transaction life-cycle.

* Developing and maintaining policies and guidance to assist the business to understand and comply with their regulatory obligations.

* Significant involvement in interpretation and application of new regulations and assessing the impact on the business.

* Developing and implementing appropriate risk mitigation strategies, working in conjunction with business management as appropriate.

* Liaising closely with key business managers and legal teams in order to identify, manage and mitigate regulatory risks and drive compliance culture.

* Acting as an SME and creating an essential connection to other Compliance and Control functions such as Legal, AML, Audit, and Compliance Testing etc.

* Carrying out transaction reviews and other compliance monitoring and testing duties as required.

* Participating in new product approval committees.

* Responding to enquiries from regulators and clients.

* Participating in internal investigations in relation to employee conduct.

* Developing and delivering training to both the business and related control functions.



Qualifications



Knowledge/Experience:



* Degree level education with professional legal or other relevant qualifications preferred.

* Exceptional candidates with relevant industry knowledge not meeting this criterion will be considered.

* Compliance or Legal professional with experience of DCM and Loans related business activities.

* Knowledge of Investment Banking, Credit Markets or Structured Finance would also be advantageous.

* An excellent knowledge of FCA regulations, EU directives and Industry guidelines which pertain to the covered business area.

* Prior experience providing product legal or compliance support at a bulge bracket investment bank would be advantageous.

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

£50000.00 - £60000.00 per annum + bonus



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