Capital Markets Advisory (BAFIN experience)

City of London Permanent
  • equities or fixed income compliance
  • compliance advisory

About Our Client

Mid sized Investment bank

Job Description

  • This Compliance Advisory role focuses on the Equities and Convertible Bond desks in London and Frankfurt, and reports to the Head of Advisory Compliance in London / Head of Compliance in Frankfurt and is responsible for advising the business.
  • Equities Compliance Advisory ensures that the Equities business and convertible bonds business are compliant in meeting regulatory expectations in complying with all relevant laws, rules and regulations which apply to CMDP by providing guidance to relevant areas.
  • This role advises and guides the business through investigating any identified potential or actual breach of relevant rules and regulations and reporting to senior management and the regulatory authorities and in remediation solutions.
  • This role requires a Compliance Officer with key knowledge on Equities markets related regulation including MiFID, EMIR and MAR in the UK and Germany, the role will cover Fixed Income also but in less depth.

The Successful Applicant

- Compliance Advisory experience in Equities and Fixed Income (Equities only will be considered)

- BAFIN and/or FCA regulator experience

- German language a huge advantage

What's on Offer

excellent package and exciting newly created role.

Sumrana Saleem
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Job summary

CFO & Financial Management
CFO & Financial Management Subsector
Financial Services
City of London
Contract type
Consultant name
Sumrana Saleem
Job reference

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