CLIENT BACKGROUND
We are looking for an experienced and knowledgeable IBD/Control Room Compliance Specialist to join our team. The successful candidate will have extensive experience in investment banking division (IBD) product knowledge or control room operations, to work in the regional team and report to the Head of Compliance to work closely with the business team on compliance advisory.
JOB RESPONSIBILITY
- Oversee compliance for the Investment Banking Division, ensuring adherence to regulatory requirements and internal policies.
- Provide guidance and support on compliance matters related to IBD products and services.
- Manage control room operations, including monitoring and managing information barriers.
- Conduct compliance reviews and risk assessments of IBD activities.
- Develop and implement compliance policies and procedures.
- Collaborate with various departments to address compliance issues and implement corrective actions.
- Prepare and present compliance reports to senior management.
- Stay updated on regulatory changes and industry best practices.
JOB REQUIREMENTS
- Minimum of 7 years of experience in IBD compliance, product knowledge, or control room operations.
- Strong understanding of regulatory requirements and compliance frameworks related to investment banking.
- Excellent analytical and problem-solving skills.
- Ability to work independently and as part of a team.
- Strong communication and interpersonal skills.
