Head of Compliance - Global Prime Brokerage

Alexander Ash Consulting Ltd
19 Oct 2018
26 Oct 2018
Contract Type
Full Time

We've been released an urgent new interim/contract requirement by one of our Tier 1 Banking partners, who are looking for an experienced Compliance professional to support their 'Global Markets' Compliance function in London.

Specifically, they require covering within in their Global Prime Brokerage offering, which includes:

- Prime Finance/Brokerage
- Equity Financing
- Stock Lending
- Synthetic Trading
- Agency Securities Lending
- Listed Derivatives & Clearing

This individual will be:

- Providing advice to Global Prime Brokerage staff regarding applicable laws, rules, regulations along with organisational policies and procedures on a timely basis
- Providing advice and guidance to more junior members of the team in the Global Prime Brokerage Business Line Compliance Team
- Advising the business on the establishment, improvement and documentation of their controls
- Reviewing and opining on new business initiatives and transactions
- Escalating transactions and issues to management where appropriate
- Drafting and reviewing policies and procedures resulting from regulatory developments

You will be an experienced Compliance professional with at least 5 years previous comparable experience, which includes:

- An understanding of securities, corporate and contract law with an up-to-date knowledge of the rules of at least one of the main lead regulators (eg FCA, PRA, BaFin or SEC)
- In depth operational knowledge (trading through to trade confirmation) of relevant products (equities, structured transactions, equity derivatives, etc.)
- The ability to interpret, understand and advise an appropriate course of action on a broad range of legal and regulatory provisions
- A clear understanding of the compliance and legal issues impacting major investment banks
- An ability to work with compliance colleagues in other locations
- The ability to work independently with minimum direction, as well as work as part of a team
- The ability to lead a team

Rate is flexible but subject to experience

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