Compliance Officer, Capital Markets 12 months FTC Compliance Officer, Capital Markets 12 months FTC …

Hays Financial Markets
in London, United Kingdom
Permanent, Full time
Last application, 28 Nov 21
bens
Hays Financial Markets
in London, United Kingdom
Permanent, Full time
Last application, 28 Nov 21
bens
Hays Financial Markets
Corporate finance/brokerage to the small/mid caps seeks Compliance Officer for 12 months maternity leave cover

I'm seeking a Capital Markets Compliance Officer on behalf of my client, a business with activities spread across both wealth management and corporate finance/brokerage for the small to mid-cap sector, with this partnering vacancy focused predominantly on the latter. It's twelve months cover for pending maternity leave, in this role you will provide regulatory advice and guidance, act as point of contact for the business and relevant regulatory authorities and exchanges, investigate issues and advise on remedial action, review forthcoming regulations and advise the business on any commercial impact. Candidates are sought with 10+ years corporate finance compliance experience gained from either an investment bank or other corporate finance/advisory provider. The successful candidate will be strategic, commercial, solution-driven and able to build relationships.

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