FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Business Advisory Compliance Officer - Global Advisory / M & A

Our Client a high-profile Global Advisory firm is looking for a UK Compliance Specialist to oversee the delivery of Business Advisory Compliance activities within the alignment of Group standards and local regulatory requirements.

JOB TEXT

Key Focus and Responsibilities:

Our Client a high-profile Global Advisory firm is looking for a UK Compliance Specialist to oversee the delivery of Business Advisory Compliance activities within the alignment of Group standards and local regulatory requirements.

  • In collaboration with the Global Advisory business, understand how business developments may impact the risk profile and business locations within the regions e.g. new jurisdictions, new licenses, new regulators, cross border issues exiting locations etc.
  • Maintain a relationship with the group business heads, ensuring relevant risks and issues are escalated to them accordingly, in particular act as the co-ordinator for the Global Risk Committees.
  • Collation and delivery of management reporting in relation to the Advisory business
  • Accountable for establishing and maintaining the Regional Compliance Policy and Procedure framework and Compliance Training programme
  • Accountable for the preparation of the Compliance Risk Assessment
  • Work with Central Compliance to identify Anti Money Laundering Client Take-on and, Market Abuse Monitoring controls in the Region, including regulatory investigations
  • Participate in the management of relationships with the regulators
  • Accountable for the identification, assessment and management of regulatory changes

Key Competencies:

  • Strong written and oral communication skills.
  • Ability to foster strong working relationships within the Legal, Compliance and Risk team, and with senior stakeholders in the business.
  • Methodical, structured and rigorous approach to delivery.
  • High sense of discretion and confidentiality.
  • Integrity, reliable and precise, conscientious and professional.
  • Good judgement, capable of problem-solving and acting independently.
  • Excellent organisation skills and ability to prioritise.
  • Motivated - self-starter.
  • Flexible in the work organisation.
  • A corporate/commercial legal background, particularly in M&A and debt/equity capital markets would be helpful

A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
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  • Negotiable
  • London, England, United Kingdom
  • Temporary, Full time
  • Charles Levick
  • 2018-08-14
London, England, United Kingdom London England GB