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.

Key Responsibilities;

  • 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

 

Key Skills;

  • 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