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Public Securities Compliance - VP

FH2112
Negotiable
Full Time
Greater London
London
16-12-2019 09:32 AM

Our client is a young , deeply innovative fund manager based in London’s West-End

It is seeking an experienced (ideally public-securities)  compliance practitioner. This role will support a fledgling cross-border business

Role Highlights  

( Full specification is available from Fergus Hooley)

*Develop policies and procedures to oversee the public securities business , delivering in accordance with AiFMD/MiFID conduct of business rules

*Establish and oversee surveillance programme

*Oversight of share disclosure rules

*Maintenance of central compliance infra-structure

*Delivery of training to the business

 *Analysis of  regulatory development   

Experience

 

*Proven experience investment banking trading floor advisory (public securities) or a hedge fund is essential

 

Fergus Hooley

DIRECTOR - COMPLIANCE

+44 (0)20 3857 5225