Compliance Officer 111105
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.