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Equity Advisory VP

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Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/JOES/27128
Contact Joe Smith
Date posted 04-10-2017

BRUIN Financial is currently working with a global financial services firm who are looking for a Compliance Advisory Manager to join their Compliance department. The successful candidate will join a department which seeks to manage compliance risk and deepen the culture of compliance at firm through the development and management of strategies that are sustainable and increases the trust of our clients.

As a Compliance Advisory Manager your responsibilities include:
• Providing advice to staff regarding applicable laws, rules, regulations and the firm’s policies and procedures on a timely basis
• Advising the business on the establishment, improvement and documentation of their controls
• Reviewing and opining on new business initiatives and transactions
• Drafting and reviewing policies and procedures resulting from regulatory developments

The successful incumbent requires:
• An understanding of securities, corporate and contract law with an up-to-date knowledge of the rules of at least one of the main lead regulators (e.g. FCA, PRA, BaFin or SEC)
• In depth operational knowledge (trading through to trade confirmation) of relevant products (equities, structured transactions, equity derivatives, etc.)
• The ability to interpret, understand and advise an appropriate course of action on a broad range of legal and regulatory provisions
• A clear understanding of the compliance and legal issues impacting major investment banks

For more information please contact Joe Smith on 02031453376 or joe.smith@bruinfinancial.com.

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Associate, Consultant