Advisory Contractor Investment Banking

Duties and Responsibilities: Tasks will include but not be limited to the following:

1. Day to day advice on sales and trading and operational issues.
2. Approval of investment research and marketing material.
3. Assistance to corporate finance including wall crossings and conflict management issues; advice on AIM and LSE rules relating to listing and ongoing obligations.
4. Advice on management of conflicts of interest. Maintenance of Grey and Restricted lists.
5. Review and approval of new products. Due Diligence. AML checks.
6. Assessment of any proposed regulatory changes. New employee inductions and training.
7. Significantly upgrade policies and procedures/ controls.
8. Conduct risk based transaction and theme based monitoring; liaison with internal audit.
9. Undertake disclosures to Takeover Panel and LSE.; review of announcements and press releases.
10. Assist with improvement of management information/reporting.
11. Assist with routine regulatory notifications.

Background and Qualifications

The client is privately owned; its roots are in funds management and project finance but it has recently expanded its corporate finance and sales and research operation, with over 90 staff.

1. The candidate will have been in a senior advisory role providing advice and support to corporate finance, research and sales and trading divisions.
2. Must be familiar with FSA rules. Ideally the candidate will have familiarity with AIM and Listing rules of LSE, as well as Takeover Panel disclosure rules.
3. Must be proactive and collegiate in approach and be willing to assist the business and help it grow.
4. Candidate will have a good track record with investment banks and/ or securities houses and be educated to degree level.
5. This is an exciting opportunity with a varied workload, offering close interaction with the business and exposure to senior management.

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