Head of Compliance - Investment bank (Prime finance)
- Recruiter
- Alexander Ash Consulting
- Location
- London, England, United Kingdom
- Salary
- 550 - 900
- Posted
- 22 Oct 2018
- Closes
- 25 Oct 2018
- Ref
- 4733350
- Contract type
- Contract
- Hours
- Full time
- Experience level
- Director
Client
My client a leading financial institution is currently searching for a Head of compliance to join them on a contract basis in London. You'll be joining the Global Markets (“GM”) Equities Compliance team which covers Global Equity Trading, Global Equity Derivatives & Convertibles and Global Prime Finance (“GPF”) and will be involved in Compliance coverage for all of these businesses but with a primary Compliance coverage responsibility for GPF encompassing the usual GPF activities (Prime Brokerage, Equity Financing, Stock Lending, Synthetic Trading, etc.) plus Agency Securities Lending (“ASL”) and Listed Derivatives & Clearing (“LD&C”) in London.
Skills
- An experienced Compliance professional with at least 5 years previous comparable experience
- A highly motivated, enthusiastic team player
- Prime Finance experience
Responsibilities
- An understanding of securities, corporate and contract law with an up-to-date knowledge of the rules of at least one of the main lead regulators (e.g. FCA, PRA, BaFin or SEC)
- In depth operational knowledge (trading through to trade confirmation) of relevant products (equities, structured transactions, equity derivatives, etc.)
- The ability to interpret, understand and advise an appropriate course of action on a broad range of legal and regulatory provisions
- A clear understanding of the compliance and legal issues impacting major investment banks
- An ability to work with compliance colleagues in other locations
- The ability to work independently with minimum direction, as well as work as part of a team
The ability to lead a team
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