Job Title:	Capital Markets Compliance Manager
Reference:	COMPL3021
Salary:	Up to £80,000
Location(s):	London, London East, London North, London South, London West, Middlesex, City of London
Industry(s):	Financial Services
Advertiser:	Compliance Professionals Ltd
Employment Type:	Permanent
Posted:	10-09-2008

Description:

THE COMPANY:

We have been instructed by our client, an international investment bank with a strong market presence. Due to expansion within the company, they are looking to recruit Compliance Officer to join their capital markets team.

THE RESPONSIBILITIES:

Providing advice to the Equity Department on research policy and management of conflicts of interest in connection with investment research

Assisting business in conflicts management process

Updating Watch and Restricted List databases; equity research clearance

Advising on investment banking (M&A and capital markets) transactions, including providing guidance to the Investment Banking Department on UK Takeover Code requirements

Dealing with UK Takeover Code reporting issues

Provide advice to the business on issues regarding Chinese wall crossing procedures, PA dealing

Identifying potential areas of compliance risk within the business

Developing/implementing corrective action plans for resolution of problematic issues

Assisting in the designing of compliance monitoring programme

EXPERIENCE REQUIRED:

Strong compliance experience gained within a banking environment

MUST have had exposure to transactions

Ideally educated to degree level

For further information, please contact Hannah Tabatabai