Chief Compliance Officer -Investment Banking

City of London Permanent
  • head of compliance
  • Investment Banking

About Our Client

Our client is a high growth start up Investment Bank in the City of London. This is a fast paced environment and requires a Chief Compliance Officer (SMF 16) to be based on-site 5 days a week.

Job Description

  • Develop and oversee control systems to prevent violations of regulations and internal policies
  • Evaluate the efficiency of controls and improve them continuously
  • Revise procedures, reports, etc. periodically to identify hidden risks or non-conformity issues
  • Collaborate with corporate counsels and HR departments to monitor enforcement of standards and regulations
  • Assess the business's future ventures to identify possible compliance risks
  • Review the work of colleagues when necessary to identify compliance issues and provide advice or training
  • Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control
  • Prepare reports for senior management and external regulatory bodies as appropriate

The Successful Applicant

The successful Chief Compliance Officer should have:

  • A strong background in broad capital markets products
  • Proven experience as an SMF 16 is a must
  • Excellent communication skills
  • ExCo level experience
  • Integrity and professional ethics
  • Emerging markets experience
  • Teamwork skills
  • Attention to detail

What's on Offer

  • A competitive salary
  • The opportunity to work in a professional and supportive environment
  • A vibrant company culture that encourages innovation and creativity
  • A chance to make a significant impact in the Banking industry

We encourage you to apply if you are a professional with a strong background in Investment Banking and a dedication to ensuring compliance in a fast-paced environment.

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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