• 17 June 2008
• Reference: JR201712

• Compliance Advisor

• City of London Dependent on experience Temporary
• Benefits: Market related rates

An international financial services groups Corporate Finance division that advises companies, governments and a wide range of financial institutions on mergers and acquisitions, structuring and raising debt, corporate restructuring and general advice to private equity groups is seeking a qualified and highly experienced Compliance Officer with about 5 years relevant experience, to hit the ground running, and take on the following responsibilities:

Risk Committee procedures (including AML. client classification, risk identification and resolution), review and analysis of rejected new business proposals and successful new business proposals, review of final documents and of insider lists, risk Committee attendance, engagement letter precedents - review and update, personal Dealing compliance, handle UKLA market abuse enquiries, liaise with FSA, UKLA, AIM and Takeover Panel, UKLA Sponsor eligibility criteria (review spread of transaction experience across fee-earning staff), AIM Sponsor eligibility criteria (review spread of transaction experience across fee-earning staff), handle ad-hoc enquiries regarding engagement letters, Risk Com paper preparation, ensure compliance with US broker-dealing regulations where appropriate, ensure regulatory compliance on other (non-USA) international engagements (in particular the use of the company FSA passport), collate documentation, develop checklists for UKLA Listing Rules and Takeover Code.

You will also be required to get involved in training and competence - ensure new joiners successfully complete the appropriate training course and exam and are registered with FSA, act as MLRO, brief all staff on regulatory changes, ensure all staff complete the anti-money laundering training programme, prepare monthly Board report, review marketing material / financial promotions, complete FSA returns, maintain a record of breaches and hospitality / gifts and maintain and update the Compliance Procedures Manual.

The ideal candidate will have at least 5 years day to day compliance experience including corporate finance experience. Essential to have previous compliance advisory experience, a good knowledge of UK Listing Rules, TakeOver Code and EU Prospectus Rules. Good communication skills; decision making capability; leadership qualities; good at developing Compliance culture and a good team player.

If you have similar experience to that outlined above, and are looking for a temporary opportunity within a progressive and dynamic environment, please forward your CV to compliancetemps@joslinrowe.com or call directly on 02077866412

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Keywords related to this job

• Compliance,
• Compliance Officers / Analysis,
• City of London,
• Temporary,
• Banking,
• TOP,
• FSA,
• compliance,
• Advisory