Research Compliance Officer

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    £85,000 - £95,000

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  • Published:

    over 1 year ago

Research Compliance Officer required for an Investment Bank based in London.

As research Compliance Officer you will be covering DCM, ECM & M&A Research.

Responsibilities/experience required but not limited to:

  • Review and clearance of FI & Equity research products and sales commentary.
  • Maintenance of the Watch & Restricted List including reviewing and approving market soundings in accordance with MAR and conflict clearing Investment Banking transactions.
  • Provide accurate and timely advice and guidance on regulatory compliance issues affecting the Research and Investment Banking business.
  • Represent Compliance in internal business meetings and committees and provide constructive and effective challenge in respect of regulatory compliance and the associated risks.
  • Oversight & challenge of deal files, due diligence, pitchbooks and marketing communications
  • Reviewing deal committee papers, ensuring that all relevant documents are received or issues raised in advance of take-on.
  • Maintenance and drafting of policies and procedures.
  • Desirable Regulatory Knowledge: FCA UKLA LR & Aim rules (NOMAD)

The Investment Bank is currently going through a series of acquisitions and actively expanding into Europe. They are building out a team with this role being a mid to senior hire. You will be part of building the foundations or a compliance function.

If you are interested in this opportunity and would like to apply or would like further information, please submit your CV. Alternatively, call Pritesh Chudasama on 0203 637 1607 for a confidential conversation.

Please note, should feedback not be received within 28 days, due to the large volume of applications, unfortunately, your application has been unsuccessful. However, I may be in touch with similar relevant opportunities in the future.