An international Investment Banking client of Holmes Search is looking to strengthen its European Regulatory team with a UK Compliance Advisory partner to lead on the DCM Origination and Syndication business areas.
The role will be the primary regulatory contact for the DCM and Syndication teams as well as IB, European corporate loan and Transactional services teams. These business lines are the banks most profitable and largest in London and therefor need a strong technical SME with interpersonal skills to match.
Successful applicant must be aware that as a smaller firm this role will also require non advisory work such as maintain the compliance framework for Private Side business and dealing with Global trade surveillance and Control room at HO.
- Assess the impact of new regulations and creating appropriate Compliance policies and procedures relating to these.
- Preparing and conducting Compliance training appropriate foe the business lines covered
- Providing real-time Compliance interpretation and advice based on internal policies and applicable regulation
- Investigating and resolving alerts escalated from Global Compliance Surveillance and self-reporting from the business
- Represent the business in regional and global Compliance working groups and trade associations
- Assisting in performing and keeping up to date the Compliance risk assessment for the business
- Liaising and helping other members of the wider Compliance team
- Assist with ad hoc administrative tasks (e.g. team task lists; management information and reporting; coordination of regulatory correspondence for the business).
The skills and experience required for the role are as follows:
- Familiarity with fixed income markets infrastructure and the relevant UK and EU regulations (particularly MiFID2, MAR, EMIR)
- Good understanding of the private side products covered, such as bonds, derivatives and securitized debt
- Ability to provide effective real-time regulatory advice
- Proactively keeping abreast of emerging issues and evolving regulatory requirements to assess their impact
- Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
- Contribute to team development of skills and capabilities through mentorship of others
- Participate in personal performance management and development activities, including cross training.