Am I allowed to refer clients as a Risk Management guy?
I work for a bloated second-tier IB coasting on reputation earned twenty years and two mergers ago, but that's not relevant.
I've been networking to leave my current Risk group in order to move to an FO group. I've networked both within the bank and outside of it. It's a big jump, and it's been about sixteen months in the making (significantly delayed due to COVID).
This past weekend, while attending a socially-distanced brunch, a close friend of mine who works for a small advisory company mentioned he's been working with several clients to pitch IBs for deals up the alley of the groups I've interviewed for just last week, both inside and outside my current bank.
Can and should I, Middle Office drone, do the following:
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Contact the MD I interviewed with inside the bank, saying that a close personal friend in advisory is pitching deals to IBs, and ask if they would like to get in touch to see if that they're working on would interest them?
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Contact the MD I interviewed with outside the bank, also saying a close personal friend in advisory is pitching deals to IBs, and ask if they would like to get in touch to see if that they're working on would interest them?
Any advice with regards to both optics and compliance would be welcome.