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Compliance Officer

  • Location: London
  • Salary: c. £55-60,0000 pro rata
  • Job type: Contract/Temp
  • Job reference: PWH/169518
  • Sector: Banking , Interim
Job Description

Our client is an international corporate and investment banking group, looking to recruit an experienced Control Room compliance officer (AVP) on a 12month fixed-term contract basis. 

 

In this role, you will ensure the effective and timely operation of the day to day functions of the EMEA Control Room under the supervision of the team head and to support the team head in ad-hoc projects.  The Control Room team sits within EMEA Compliance and has responsibility for the identification and management of conflicts of interests including the management of transactional insider lists relating to inside information and conflicts of interest.

 

You will act on behalf of the EMEA Control Room across corporate and investment banking under a dual-hat arrangement.  You will act and make decisions on behalf of both businesses, subject to the same remit and level of authority, and irrespective of the entity which employs you.

 

Key responsibilities:

  • Maintain and monitor Chinese walls / wall crossings / flow of non-public information;
  • Undertake conflict clearance and management;
  • Obtain deal updates from first line;
  • Maintain the firm's insider lists;
  • Implement necessary sales, trading and research restrictions;
  • Personal account dealing and outside business interests approval;
  • Provision of advice and guidance to the business in respect of the firm’s Confidential and Inside Information Policy, Chinese walls, insider dealing and market abuse issues;
  • Produce daily reports to monitor daily equity positions and to monitor any breaches;
  • Oversee and administer the Certification and Fitness and Proprietary process.

 

To be considered, you must have previous Control Room experience within an investment bank of securities business.  

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