Regulatory Compliance Associate (Investment Banking)
Charterhouse Partnership is currently sourcing for a Regulatory Compliance Associate for an Investment Bank. Reporting to the Head of Central Compliance, you will provide regulatory advice to the business and assist in the maintaining regulatory compliance policies and framework.
The current role involves supporting the Company in adhering to relevant laws, regulations, and internal policies. Responsibilities include recognizing, evaluating, and incorporating regulatory changes affecting the organization. The incumbent will participate in audit-related activities, collaborate with internal and external auditors, and oversee the preparation and submission of regulatory reports.
Additionally, the position involves contributing to the Compliance Review Program and handling Control Room matters to guarantee that internal departments align with established rules, policies, and procedures. The incumbent will offer prompt and high-quality advisory assistance to internal stakeholders, examining products and services, new business initiatives, and licensing requirements.
Degree or professional qualification in accounting, business, law or related field.
Minimum 3 years’ of compliance experience in Banking, Capital Markets, or audit sector.
Good understanding of the SFA & FAA
Good communication skills with ability to positively influence others.
For more information on the above position, or to discuss the compliance market in general, please reach send your CV to email@example.com or call 69500354 for a confidential discussion.
EA License no: 16S8066 | Reg no.: R1433611
Only successful candidates will be notified.