Our client, one of America's largest banking groups, is looking to hire an experienced Compliance professional at an Executive Director level to provide specialist Compliance advice and guidance to senior leaders and key members of the firms growing Investment Banking business with a focus on Equity Capital Markets (ECM). The firm are one of America's largest banking groups whose global presence continues to go from strength to strength. The ECM business, among others, has been identified as a key growth area of the firm as such this role is the first of several new hires to be signed off in fast growing specialist group.
You will report directly into the US Head of Banking Compliance.
The ED of Investment Banking Compliance Advice will be responsible for…
- Providing specialist product and business Compliance Advice to key stakeholders and senior leaders in the Equity Capital Markets business focusing among others, Controls as well as Policy & Procedures.
- Engagement with Regulators for regulatory approvals
- Working closely with Equity Capital Markets business leaders to implement regulatory initiatives
- Developing Controls for the Equity Capital Markets Business.
The ED of Investment Banking Compliance Advice should have the following qualifications…
- Minimum of 8+ years of relevant Investment Banking Compliance experience business including experience of providing Compliance Advice to Equity Capital Markets.
- Excellent working knowledge of the regulations governing the Equity Capital Markets space.
- Securities Industry registration - not essential but a nice to have.
- Exceptional communication skills
