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Senior Compliance Officer- Investment Banking
- This Senior Compliance Officer- Investment Bank role is based in London
- Seeking a senior compliance candiate with fixed income experience
About Our Client
This Senior Compliance Officer- Investment Banking role sits within a full-service, boutique investment bank and securities brokerage. This is an American firm with numerous offices across North America.
**FIXED INCOME KNOWLEDGE REQUIRED**
This Senior Compliance Officer- Investment Banking role covers:
-To be registered as the company's CF10 & CF11
-Full responsibility for compliance oversight
-Advice to to the business
-Responsibility for keeping up with changes to the FCA's regulations
-Creating, implementing and maintaining compliance and financial crime policies
-Managing the compliance monitoring & testing programme
The Successful Applicant
This Senior Compliance Officer- Investment Banking position seeks a candidate with extensive experience gained in Financial Services, specifically in investment banking. Experience gained in a brokerage also beneficial, particularly exposure to securities.
This position requires a senior candidate with broad experience, the client is ideally seeking a candidate with no less than 5 years of compliance experience gained in a relevant industry (although candidates with less experience with relevant skills and experience will still be considered).
This will be a stand- alone role, it is essential that the successful candidate has covered both compliance and financial crime, ideally having been previously registered as a CF10 & CF11.
The successful candidate will lead relationship with the regulator (FCA) and will be responsible for all business advisory and training, therefore, experience of both will be necessary.
What's on Offer