This role sits within a solid and respectable Compliance team and aims to provide advisory for the Private Side of the business, including but not limited to those relating to Insider Trading, Wall Crossing, Market Abuse, Conflict of Interest etc. You will also ensure alignment of control room policies and procedures, trade reviews, regulatory submission and act as the liaison with regulators, external and internal auditors.
The ideal candidate should have in-depth compliance advisory with understanding of the Investment Banking business and its related laws, regulations, notices and guidelines. Good interpersonal and communication skills and the ability to adapt to changes and work under pressure are desirable traits to succeed in the role.
Contact Helen Ng at firstname.lastname@example.org for a confidential discussion.
EA Licence No. 16S7973
EA Reg No. R1105493