| Job Title: | Corporate Finance Compliance Officer (3 Months) |
|---|---|
| Reference: | Compl3004 |
| Salary: | £50ph |
| 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: | Temporary |
| Posted: | 26-06-2008 |
Description:
THE COMPANY:Our client is a subsidiary of a leading financial services house. They consistently provide corporate finance advice to financial institutions, hedge funds and equity houses. They are seeking a Compliance Officer on a temporary basis to join their compliance team.
THE RESPONSIBILITIES:
Review and analysis of rejected new business proposals
Review and analysis of successful new business proposals
Handle UKLA market abuse enquiries
Completion of FSA returns
Liaison with FSA, UKLA, AIM and Takeover Panel
Maintain and update Compliance Procedures Manual
Ensure compliance with US broker-dealing regulations where appropriate
Ensure new joiners complete successfully the appropriate training course and exam and are registered with FSA
Review of insider list
Prepare monthly Board report
Briefings for all staff on regulatory changes
EXPERIENCE REQUIRED:
Strong compliance/corporate finance experience gained within a banking environment
Good knowledge of UK Listing Rules, TakeOver Code and EU Prospectus Rules
For further information, please contact Duncan Jeffery
