Compliance Advisory -Boutique Investment Bank - ECM, M&A, Research

Responsibilities:

• Conduct compliance risk assessments and develop appropriate mitigation strategies
• Monitor and implement regulatory changes and ensure our firm remains in compliance with all relevant laws and regulations
• Provide compliance advice and training to business teams and other employees
• Collaborate with other internal stakeholders to ensure that compliance risks are effectively managed
• Prepare and submit regulatory filings and reports
• Participate in internal and external audits
• Manage and oversee compliance-related projects
• Provide guidance on the development of new products and services

Qualifications:

• Bachelor's degree in a relevant field such as finance, law, or business
• Experience in a compliance advisory role or Control Room
• In-depth knowledge of relevant regulatory requirements and best practices
• Strong analytical and problem-solving skills
• Excellent communication and interpersonal skills
• Ability to work independently and collaboratively with a team
• Experience with equity capital markets and mergers and acquisitions is preferred

The role offers a competitive benefits package, as well as a dynamic and challenging work environment. If you are a self-starter who is passionate about compliance and interested in joining a growing and dynamic team, please get in touch at chris.roots@investigo.co.uk