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Leading Investment Bank still actively recruiting for a Private Equity Advisory Compliance
The role includes general advisory compliance support in relation to:
Regulatory requirements in respect of transactions
Regulatory requirements in respect of the general business
Controls over confidential and inside information
Reputational risk
Resolution and management of conflicts of interest
Chinese Walls issues
Drafting of ad-hic policies and procedures for Compliance and for the business lines
The role includes provision of specialist advice in relation to:
Jurisdictional Conduct of Business Rules
Jurisdictional listing rules
Jurisdictional takeover rules requirements
Jurisdictional public offering requirements
Responding to regulatory requirements
Conducting investigations
Interpretation of changes/updates to regulations and the provision of updates to the business lines
Demonstrating ability to work as part of a team
The inherent nature of this role requires candidates to display the following attributes:
Work experience in the financial services industry specialising in private equity transactions, preferably with experience in a regulatory related role.
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