Compliance Officer 111105

Recruiter
Credit Suisse
Location
London (Greater)
Posted
12 Jul 2018
Closes
15 Aug 2018
Sector
Legal
Contract Type
Permanent
Hours
Full Time
We Offer Opportunity to work in an advisory Compliance role with lead responsibility to cover a significant business area within IBCM/GM Syndicate. Leading the provision of advice to the business on transactions, CS policies and procedures and regulatory requirements. Developing a relationship with the business heads and teams across a range of businesses. Opportunity to undertaking some monitoring and review work. Developing and implementing new projects, initiatives and regulatory changes. Opportunity to further develop an understanding of a range of businesses and activities across IBCM and GM Syndicate. Open to discussing flexible/agile working. You Offer A good understanding of debt or equity markets and syndicate activities but with a willingness to learn and adapt, focusing on private- side activities such as market sounding, allocations, assessment of MNPI, block trades and stabilization. A good understanding of loan markets, including LMA guidance and loan agency activities. A good understanding of how conflicts of interest arise and are managed. A good understanding of how MIFID2 and PRIIPS impacts such a business. Ability to work with stakeholders to implement policies, procedures and regulatory requirements. Ability to take risk-based decisions and appropriate courses of action. Ability to work in a team and across other teams in CCRO and other functions.

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