Job Vacancy Details
Compliance Executive
Investment Banking
London
Permanent ⁄ £40000 - £60000
Updated November 10, 2008
This is a challenging and demanding role working in the heart of London for the UK based division of a prominent European Bank. To be an active member of the Compliance team with specific emphasis on supporting the securities department to assist them with complying with all rules, legal and regulatory requirements. To assist the Head of Compliance on a day to day basis.
COMPLIANCE
• Assist the Securities Department with their day to day activities, including assisting them to structure transactions in a legal and compliant way, answering questions and providing an interpretation on any points of the relevant rules or law (including the London Stock Exchange Rules (and any other applicable exchange rules) Companies Acts, the Takeover Panel Rules, the UKLA Rules, the FSA Rules, the AIM Rules and any other applicable rules or laws) and any other ad hoc activities that the Securities Department may request.
• To be familiar with all relevant rule books relating to secondary market trading (including but not limited to The London Stock Exchange Rulebook, including the AIM Rules, The FSA Handbook, The Takeover Code, the UKLA Rules, and other relevant legislation). In addition, keep aware of any changes and amendments to such rules including the implementation of new trading initiatives and assess the impact on relevant business areas.
• Assist the various exchanges and/or regulatory bodies when they have questions or queries.
• Carry out monitoring of trades on an ad hoc basis and in accordance with the compliance monitoring programme.
• Make daily Takeover Panel disclosures via RNS or directly to the Takeover Panel in accordance with the Takeover Code.
• Update and maintain the Securities Procedures Manual and Securities or Trading Templates and Precedents.
• Register to make markets in new stocks with the London Stock Exchange.
• To provide induction training to all new recruits to the firm and to assist in maintaining training records.
• To maintain, monitor and manage the Chinese walls relevant to the securities department and other departments.
• To assist in ensuring the firm adheres fully to the FSA Principles at all times.
• To assist in ensuring that the firm complies fully with the Financial Services and Markets Act 2000 and relevant subordinate legislation and the rules of the Financial Services Authority.
Who we're looking for
The Compliance Executive will need to meet the following criteria:
• Equities product knowledge
Extensive background in Compliance as well as secondary market trading and back office functions.
• Intermediate/advanced IT skills.
• Able to learn quickly and build on existing knowledge.
• Able to build and maintain strong relationships within the business and with external authorities. To be proactive as well as reactive to enhance the authority, independence and reputation of the department.
• Pragmatic, attentive to detail and with good commercial awareness.
• Able to work independently and manage own workload as well as being a strong team-player.
• Creative and a natural problem solver.
About our client
The UK arm of a European Investment Banking firm
What's on offer
My client is looking to put together an excellent package including a base salary plus benefits and bonus
Michael Page Contact
For further info, apply or phone on 020 7645 1466.
Job Ref: 13004112
Your application will be sent to Chantel Rademeyer.
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