Private Side Compliance SVP
London, England, United Kingdom
A leading organisation in London is looking for a Senior Private Side Compliance Officer. The role will take on some leadership responsibilities within the team so prior management experience would be preferable.
- Provide compliance advice to the private side business in relation to their range of activities
- Ensuring the business remain mindful of regulatory obligations and assist in training and relaying of key information on new developments from the regulatory bodies
- Build relationships with senior management across the organisation but more specifically for this business area coverage.
- When appropriate assist other areas of compliance with controls testing, MI and adhoc duties.
- Contribute to UK, regional or global projects with a view to ensuring that they are delivered effectively and efficiently
- 10+ years of Financial Services Compliance experience
- Extensive knowledge of M&A, ECM, and other IBD services.
- Good knowledge of Watch, Grey and restricted list.
- Strong track record of key stakeholder engagement in specified business areas
- Practical engagement in upholding the control environment
- Excellent written and spoken English language skills