Private Side Compliance Officer

Leading global financial institution seeking an experienced Compliance Officer to join its EMEA Investment Banking Compliance team on an initial 3-month contract paying up to £750 a day.

The role sits within the Private Side Compliance function, providing business-facing Compliance advice and support to Investment Banking across a broad range of transactions and activities.

Key responsibilities

• Providing Compliance advice on live Investment Banking transactions, including conflicts, licensing, reputational and regulatory considerations.
• Advising on information barriers, watch/restricted lists, confidential information and wall crossings.
• Supporting the business on MAR, insider lists, market soundings, MiFID and wider European and US regulatory requirements.
• Working closely with Front Office and Business Management to identify, assess and escalate Compliance issues.
• Supporting Front Office Supervision, Conduct Risk and regulatory change initiatives.
• Contributing to policies, procedures, training, monitoring and Compliance MI.
• Working with regional and global Compliance teams on business and regulatory change.

About you

• Strong experience within Investment Banking Compliance, Private Side Compliance, IB Advisory or Control Room Compliance.
• Hands-on experience providing transactional and business-facing Compliance advice.
• Strong understanding of information barriers, wall crossings, conflicts, restricted/watch lists and inside information.
• Good knowledge of MAR, MiFID and wider European/US regulations relevant to Investment Banking.
• Comfortable working directly with Front Office stakeholders and making pragmatic decisions under tight deadlines.
• Strong communication, influencing and stakeholder management skills.
• Experience within a major investment bank, exchange or regulator would be beneficial.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates