Local Knowledge Global Resources Specialist Consultants

  • London
  • New York
  • Dubai
  • Hong Kong
  • Singapore

Interim Compliance Officer – Investment Banking

Location: London, England, United Kingdom

Salary: c. £300-400p/day

Our client is a London-based investment bank, looking to recruit an interim compliance officer to assist with a range of BAU compliance activities and project-based (MiFID II) reporting requirements.


Key responsibilities:
• Assist in the delivery of the Compliance Monitoring and Strategic Plans, as approved by the Audit committee;
• Produce regular management information (MI) for key senior management committees concerning the functioning of the global Compliance department and its delivery on specific activities and actions associated with the firm’s MiFID II project;
• Assist with progress updates and other requirements arising from the “Conduct & Compliance” MiFID II workstream;
• Assist in maintaining the Compliance “Issues Tracker” and “Breaches Register”, covering reporting, tracking, and validating actions associated with Compliance’s activities and actions as part of the MiFID II project;
• Help generate notices/reminders for senior management and/or all staff on regulatory developments – particularly those concerning MiFID II;
• Assist with regulatory inquiries and information requests as required.

In addition to the above, you will have the opportunity to get involved in a variety of compliance activities and to build a broad knowledge of investment banking compliance and MiFID II.