The advisor will be permanently placed on the private side floor and will be expected to advise the entire private side business on all matters pertaining to existing regulations and upcoming regulatory changes, including the provision of advice on the implementation thereof. The advisor will also be expected to partake in relevant engagement committees as appropriate and represent on behalf of private side compliance. In addition to the above and most importantly, the advisor will be expected to advise on private side transactions with a key focus on the management of material non-public information, conflicts of interest, and regulatory impact with a particular key focus on DCM and Syndicate activities.
Skills and Knowledge Required
Demonstrates a solid understanding of private side businesses in addition to the specific key compliance risks.
Has a particularly solid understanding of DCM and Syndicate business
History of having worked in Private Side Advisory capacity
Has awareness and understanding of challenging and changing regulatory environment in which he Bank operates and more importantly the applicability of such regulation to the businesses.
Demonstrates a good understanding of the wider regulatory environment (e.g. European regulation) and how this influences UK regulation.
Has a solid understanding of the application of PRIIPS and MiFID II to their businesses.
Attends industry roundtables and market events where such topics are discussed, and proposals are shared.
Demonstrates a good awareness of areas of regulatory focus and upcoming areas of interest and how any such changes may impact the private side business.
LMA and ICMA membership.