Compliance Officer - Capital Markets (VP)
Our client is a leading global Investment Bank which has a big focus on emerging markets and due to growth within their London office, they are looking to bring in a generalist Compliance Advisory & Monitoring specialist to their UK Compliance team.
This senior hire is important to the UK Capital Markets Compliance area, needed to support the Firm’s current and planned business in the post-Brexit regulatory environment. In addition to maintaining the Firm’s monitoring and surveillance capabilities, the hire will provide technical regulatory analysis and compliance advice to the UK / global markets business.
Key responsibilities include:
Compliance Advisory (60%)
- Continued assessment of current and emerging U.K. regulation and its impact on the Firm across all current and planned capital markets activities
- On-going development of the compliance framework, including maintaining policies and procedures in a dynamic environment
- Provide compliance advice and support to existing fixed income / equities sales and trading businesses, and new business initiatives, covering areas such as Exchange listed trading, trade and transaction reporting
- Develop, maintain and deliver regulatory training and materials, using a variety of formats to business and business support teams
- Involvement in wider compliance projects and issues across the Firm
Monitoring and Surveillance (40%)
- Monitoring and surveillance of daily / periodic e-coms, v-coms;
- Investigation and resolution of daily market abuse alerts;
- Investigation and resolution of best execution alerts;
- Maintaining the Firm’s monitoring and surveillance and market abuse framework, including MI, risk assessment, policies and procedures;
- Proven track record /relevant broad compliance experience gained in a sell-side firm, regulatory body or exchange
- Direct compliance advisory experience supporting Sales and Trading activity in general equities, fixed income business
- Strong knowledge and understanding of FCA rules (particularly COBS, MAR, SYSC, COCON, "UK MiFID"), SMCR, and relevant European legislation;
- Direct experience in working with Monitoring and Surveillance Systems
- Experience of EMIR, SFTR regulatory analysis and/or reporting would be preferred
- Good knowledge in Equities and FICC and the relevant regulatory requirement;
- Excellent planning and organisational skills.
- Strong interpersonal and communication skills (verbal and written).
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