Compliance Officer - Private side Advisory - Hays - Recruiting Experts Worldwide

Compliance Officer - Private side Advisory

Compliance officer - Private side Advisory - Global Investment Bank

Private Side Compliance Advisory - Securitisation

The Firm

A global Investment Bank located here in London, which has a long history of providing banking services to the largest UK corporations and financial institutions has instructed Hays to seek a Compliance officer, specialising in Private side Advisory, with a thorough knowledge of securitisation.

The role

The Private Side Advisor will be responsible for providing conduct and regulatory advisory services to the UK private side Businesses in line with the bank’s code of conduct, internal Compliance policies, and all applicable regulation e.g. Market Abuse Regulation, “MAR” and the Markets in Financial Instruments Directive, “MiFID II”.

The businesses in scope will include, Securitisation, the Private Debt Mobilisation, Risk Solutions Group, and potentially Global Transaction Banking. 
Further responsibilities include:

• Assisting on the delivery of the overall Compliance responsibilities, and more specifically those pertaining to the above mentioned businesses, as outlined in the Compliance Mandate.
• Ensuring the Compliance function remains professional, effective and independent at all times.
• Maintaining a permanent presence on the private side floor, and where necessary (and dependent on urgency), provide out of hours’ coverage.
• Providing real time compliance coverage of the London based businesses.
• Assisting with the Compliance attendance at team meetings and providing Compliance updates as appropriate.
• Developing relationships with key stakeholders within the Bank e.g. Legal, and Credit, building credibility for the Compliance function and enhancing the Compliance brand more widely.
• Providing professional compliance advice and guidance with respect to the maintenance of the information barriers within the UK and the integrity thereof.
• Providing expert advice (in conjunction with the Head of Private Side Compliance and the advisory team) with respect to conflict of interest situations.

The Candidate

You will be expected to demonstrate a solid understanding of the Securitisation business in addition to the specific key compliance risks. Further, you will have a keen willingness to present your knowledge and expertise to senior members of the business.

• Has proven track record/ experience of advising these businesses.
• Has awareness and understanding of challenging and changing regulatory environment in which the Bank operates and more importantly the applicability of such regulation to the above mentioned businesses.
• Demonstrates a good understanding of the wider regulatory environment (e.g. European regulation) and how this influences UK regulation.
• Attends industry roundtables and market events where such topics are discussed and proposals are shared.
• Demonstrates a good awareness of areas of regulatory focus and upcoming areas of interest and how any such changes may impact the private side business.


Job type:
Banking & Financial Services
Banking and Capital Markets
Competitive London Salary
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Talk to a consultant

Talk to Jake King, the specialist consultant managing this position, located in London City

107 Cheapside, London, EC2V 6DN

Telephone: 020345650110
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