SKILLS / EXPERIENCE

• Bachelor’s degree with 5+ years of relevant experience, including in compliance, legal, accounting or business (e.g. other finance, regulatory or legal roles) or similar relevant experience in the financial sector.
• Good understanding of MiFID II and MAR, including practical experience of their applicability to investment banking transactions and practices.
• A highly motivated self-starter, who learns quickly and works well under pressure.
• A critical thinker with strong analytical, problem solving, and organizational skills.
• Able to effectively summarise, communicate and defend positions.
• A proactive team player, who enjoys working collaboratively across teams and disciplines.
• Possess effective interpersonal and communication skills; the candidate should be outgoing, communicative, persuasive, and courteous.

BUSINESS UNIT AND ROLE OVERVIEW

Investment Banking Compliance supports the Investment Banking business by providing advice and guidance on regulatory, legal and compliance matters. Investment Banking (“IB”) includes M&A, financial advisory and financing transactions, including equity and debt capital markets, structured finance, credit finance and corporate derivatives. We currently have an opportunity available in the IB Financing Group Compliance Team in our London office covering the Financing Group business, with a primary focus on Debt Capital Markets.

RESPONSIBILITIES

• Providing advice and compliance oversight to IB personnel on transactions, new business initiatives and significant business changes affecting the firm, as well as compliance, regulatory and reputational issues.
• Developing and implementing policies, procedures, and best practice standards within IB.
• Keeping up to date with relevant regulatory/rule changes.
• Creating and implementing new controls and surveillances to mitigate risks to the firm by analysing transactional processes used in IB, as well as the activities and actions of individual bankers.
• Assisting other compliance teams in monitoring IB activities to help ensure adherence to applicable laws, regulations and firm policies and procedures, including developing and executing surveillance and other forensic compliance programs.
• Creating and implementing live and online compliance training programs to educate bankers on applicable compliance requirements, legal issues, and regulatory changes.
• Assisting in responding to regulatory inquiries and investigations.