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My client is a major financial services institution based in central London.
This is an exciting role for a private side advisory compliance officer who has experience in Investment trusts and IPO compliance.
This is a unique opportunity to step away from a silod Investment banking role and set up a desk from scratch at an extremely successful financial services firm.
Key Responsibilities:
- Provide private side advisory compliance oversight for the sales desk dealing with Investment trusts.
- Offer timely regulatory advice, support business initiatives, and promote a compliance culture.
- Collaborate on Group Compliance initiatives, policy reviews, and training programs.
- Identify and manage regulatory risks, ensuring swift resolution.
- Lead compliance reviews, regulatory training, and respond to exchange-related inquiries.
Skills & Experience:
- Extensive compliance advisory experience in banking, brokerage, or listed derivatives.
- Private side advisory compliance
- IPO’s
- Investment trusts
- marketing compliance
- In-depth knowledge of Wholesale Financial Markets and regulatory frameworks.
- Strong stakeholder management and communication skills.
- Ability to thrive in a fast-paced, high-volume environment.
Competencies:
- Integrity, initiative, and commitment to excellence.
- Collaborative, resilient, and strategic thinking.
My client is open to exploring salaries on this role £90,000 – £140,000 on the base.
3 days in the office 2 at home.
Central London office.
Please contact me with your CV to discuss in more detail ne@barclaysimpson.com
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