AM – Markets & Securities Services Compliance (Research)

Key Responsibilities:

• Manage and review industry gatekeeping for analyst access.
• Ensure compliant handling of corporate client requests.
• Oversee deal chaperoning for research independence.
• Manage vetting and report generation cycle, monitor deal emails.
• Maintain deal status communication with ECM and DCM.
• Review Research Guidelines, liaise with Deal Counsel.
• Monitor communication channels for inappropriate content.
• Approve Regulated Activity licenses, manage departures.
• Monitor regional research issues, liaise with compliance.
• Assess training for CPT approval, liaise with Training.
• Clear research, consider legal and reputational risks.
• Escalate issues to compliance, mitigate local risks.
• Regularly liaise with compliance for Global Markets and Banking.
• Ensure compliance with internal and external regulations.
• Provide clear reasoning and regulatory insights.
• Guide cost controls, assure quality, adhere to standards.
• Offer clear analysis and decisions for business proposals.
• Stay updated on regulatory changes for accurate advice.
• Conduct training according to Research Compliance requirements

Requirements:

• Experience in Research Advisory, Control Room, IB compliance or Markets compliance
• Investigative and regulatory supervisory skills for reviews and conduct
• Ambition to enhance compliance knowledge in a changing Markets environment
• Understand cross-functional linkages, influence at all levels
• Strong interpersonal, communication, and influencing skills for senior interactions

Please Note:

• This role will require you to be on call/standby for one weekend every month

If you are interested in learning more about this exciting opportunity then please apply!

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.