GBAM Compliance Research Specialist

  • Negotiable
  • Londres, Angleterre, Royaume-Uni Londres Angleterre GB
  • CDI, Plein-temps
  • Bank of America Merrill Lynch
  • 14 juin 18 2018-06-14

Corporate Title: Vice President (VP) Location: London Line of Business: GBAM Compliance

Are you a dedicated, diligent compliance professional? Want to join a dynamic, high-energy working environment? An exciting opportunity as a GBAM Compliance Research Specialist is available for a talented individual to work in our growing control function.

You will collaborate with the Compliance officer team in activities to contribute to the independent compliance oversight of EMEA Research (i.e. Equity, Credit, Economic, Commodities, Strategy and Corporate Access) and any related third party/vendor relationships in alignment with the Compliance Risk Management Program and the EMEA Compliance Enterprise Policy (GC Policy).

You will contribute to a globally consistent, risk-based compliance framework, including policies and procedures, training, risk assessments, monitoring and testing programs and regulatory adherence.

You will assist the Compliance Executive in maintaining and communicating regulatory changes, advising and directing business leaders to ensure that regulatory requirements are addressed in their respective procedures and controls so that their day to day activities operate in a compliant manner.

You will advise and direct front line units (EMEA Research, GCIB, GCM, Markets, Research Business Controls and Enterprise Areas of Coverage) to ensure that regulatory requirements are addressed in their respective procedures and controls so that their day to day activities operate in a compliant manner.

What will your main responsibilities involve?

  • Engaging other compliance officers, Enterprise Areas of Coverage roles, and horizontal function roles to provide oversight of EMEA Research activities
  • Investigating and addressing potential regulatory or compliance breaches and raising breaches for review and metric reporting
  • Chaperone communications between Equity Research and Banking personnel to ensure independence and integrity of the research function, proper business practices are followed, compliance with policies and information barriers are functioning
  • Providing mentorship on research matters to Research and Investment Banking Management/teams (including GCIB, GCM, GCB), Business Controls, other GBAM LOB Compliance teams, Enterprise Areas of Coverage (AIM, Control Room, GFCC) and Legal (Research and Capital Markets)
  • Coordinating and authorising Corporate Broking wall crossings. This involves liaising with Research Management, Research Analysts, Corporate Broking and Control Room
  • Providing mentorship to Research Management and analysts during the vetting process for capital markets transactions (i.e. IPO's and other capital raising transactions)
  • Providing mentorship and reviewing pre-deal research
  • Conducting compliance risk assessments of EMEA Research
  • Contributing to monitoring and testing coverage plans and related metrics for EMEA Research
  • Monitor and test the effectiveness of the front line unit and control function compliance risk controls
  • Identifying, aggregating, reporting and calling out compliance risks, issues and control improvements. Leading the remediation of raised items
  • Executing governance and management routines
  • Identifying compliance training needs, provide subject matter expertise to support development of training curriculum, and inspect EMEA Research participation
  • Assist business leaders in preparations for regulatory exams and audits for EMEA Research and related Enterprise Areas of Coverage
  • Administering Research Compliance training: new hire, annual, ad hoc, remedial etc.
  • Assisting Compliance Executive with Regulatory Inquiries team, Legal, Audit and other Control Functions on responses to regulatory inquiries and exams, audits and subpoenas
  • Inspecting that dedications made regarding actions in response to Matters Requiring Attention ("MRAs") and other actions are completed
  • Raising regulatory relations concerns to Compliance Executive

What skills and qualifications will you ideally possess?


  • Educated to degree level or equivalent experience
  • Experience as equity advisory generalist in comparable financial institution


  • Ability to take decisions when required and to raise when necessary
  • Genuine interest in the markets, regulation and changing legislation
  • Sound understanding of financial markets and the IPO process
  • A flexible and solution driven perspective, able to solve problems and a determination to seek answers to complex issues
  • Good Communication skills
  • Workable level of standard IT packages
  • Good team attitude, willing to interact and discuss issues in a team environments


If you're interested in this opportunity please send your details to us by applying online.

Good conduct and sound judgment is crucial to our long term success. It's important that all employees in the organisation understand the expected standards of conduct and how we manage conduct risk. Individual accountability and an ownership mindset are the cornerstones of our Code of Conduct and are at the heart of managing risk well.

We are an equal opportunities employer, and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnic or national origins, age, sexual orientation, socio-economic background, responsibilities for dependants, physical or mental disability. The Bank selects candidates for interview based on their skills, qualifications and experience.

As part of our standard hiring process to manage risk, please note background screening checks will be conducted on all hires before commencing employment