Leading Investment Bank still actively recruiting for a Control Room Compliance Officer
The role includes general advisory compliance support in relation to:
Updating and maintaining the Watch and Restricted Lists Liaising with Investment Bankers with regard to the progress of deals logged on Watch / Restricted lists Advising senior management on conflict clearance Assisting with process around establishing and maintaining Chinese Walls Attending IBD/DCM meetings (e.g., WIP, general updates,e tc.) as necessary Clearing debt and equity research against the Watch and Restricted Lists in accordance with policy Dealing with ad-hoc queries from Origination teams on all of the above issues Assisting with preparation of policies, procedures and guidelines on all of above issues Assisting with preparation and presentation of training material for all of above issues Liaising with Global Control Room staff to ensure uniformity of the above The inherent nature of this role requires candidates to display the following attributes:
Relevant Control Room experience Location: London
Role Type: Permanent, Full Time
