Senior Compliance Officer - Corporate Finance

Alexander Lloyd
London (Greater)
10 Jan 2018
09 Feb 2018
Contract Type
Full Time

Alexander Lloyd is Recruiting for a Senior Compliance Officer in London for one of the market leaders within Corporate Advisory Broking.

Overview of role:

This role will mainly be supporting the Head of Compliance focusing on all matters and assist with the firm's corporate finance function. The ideal candidate will undertake the regular day-to-day compliance monitoring and relevant duties.

Compliance Monitoring

  • Maintaining, updating and carrying out the monitoring programme and reporting the results to Head of Compliance
  • Creating and maintaining the FCA positions report and any disclosures if required
  • Keep conflict checks register up to date and undertake checks for new CF clients/transactions
  • Reviewing and updating research disclosures as required
  • Responding to trading alerts generated by the Market Abuse monitoring system
  • Approving, issuing standard emails and keeping the Insider Register up to date

Compliance Tasks

  • Day to day compliance advice escalating questions and issues as appropriate
  • Updating the restricted list on a daily basis
  • Preparation, filing and logging of suspicious activities and reports to the FCA
  • FO dealing and CF - AML checks and client categorisation when taking on new clients
  • Daily and weekly Takeover Panel disclosures
  • Assistance with thematic reviews and/or any regulatory updates
  • Registration/de-registration with FCA via Connect
  • Advising on the preparation of TR-1's if applicable
  • Performing directors and companies checks for companies and directors connected to their Corporate Finance department
  • Assisting/making routine Gabriel filings
  • Gathering information and documentation for regulatory requests, audits and inquiries
  • Populating the events database and supporting the Head of Compliance in risk initiatives.
  • Conducting in-depth execution and trading reviews and summaries on a quarterly basis
  • Conducting Corporate Finance closing binder reviews on a monthly basis.

Key Competencies required:

The ideal candidate will have proven Compliance Experience with Academic (Preferably Law Degree or Equivalent) and/or professional qualifications. Good working knowledge of the FCA Rules and Regulations within a Broking environment (Preferred) and a strong analytical background. Good knowledge of Corporate Finance / Takeover Panel is essential!

Please quote (41989) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist in Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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