Our client, one of Europe's largest banking groups, is looking to hire an experienced Compliance professional at a senior Executive Director level to provide specialist Compliance advice and guidance to senior leaders and key members of the firms Prime Brokerage business. The firm are one of Europe's largest banking groups whose global presence continues to go from strength to strength. The Prime Brokerage business 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.
You will report directly into the US Head of Prime Brokerage Compliance and will sit in Second Line of Defense.
The US Head of Prime Brokerage Advice will be responsible for…
- Providing specialist product and business Compliance Advice to key stakeholders and senior leaders in the Prime Brokerage business focusing among others, Controls as well as Policy & Procedures.
- Providing specialist Regulatory Compliance Advice pertaining to among others, Margin Lending and Arranged Finance.
- Engagement with Regulators for regulatory approvals
- Working closely with Prime Brokerage business leaders to implement regulatory initiatives
- Developing Controls for the Prime Brokerage Business.
The US Head of Prime Brokerage Advice should have the following qualifications…
- Minimum of 10+ years of relevant Prime Brokerage / Prime Services business including experience of providing Compliance Advice to Prime Brokerage Business.
- Excellent working knowledge of the regulations governing the Prime Brokerage space.
- Strong experience of working with Margin Control
- Securities industry registration
- Exceptional communication skills
