| Job Title: | Compliance Officer- Corporate Finance |
|---|---|
| Reference: | Compl2993 |
| Salary: | £ Market rate |
| 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: | 26-06-2008 |
Description:
THE COMPANY:Our client is an established UK financial services house, which provides investment banking and stockbroking services to institutional and corporate clients. They are looking for a Corporate Finance compliance expert to join their busy team. This is an exciting opportunity to gain exposure to a corporate finance business from start to finish.
THE RESPONSIBILITIES:
Provide legal and regulatory advice primarily to corporate finance and corporate broking
Provide oversight of disclosures to Takeover Panel and LSE, and of daily sales and trading activity
Act as Deputy Money Laundering Reporting Officer
Management of conflicts of interest through joint running of control room function; secretary to weekly New Business Committee and attendee to Corporate Finance pipeline meetings
Review proposed regulatory changes and initiatives; assess impact and disseminate to management and staff
Shorten, upgrade and update manuals & guidance notes as required
EXPERIENCE REQUIRED:
Relevant compliance experience ideally gained within a corporate finance environment.
Good knowledge of LSE, AIM and takeover panel rules
Ideally educated to degree level
The gravitas to deal with business leaders
For further information, please contact Duncan Jeffery
