Compliance Officer - Sales & Trading
Our client is a full service retail and institutional brokerage and Investment Banking firm with a strong global presence and due to some recent structural changes they are actively looking to recruit a Compliance Advisor within their London office.
You will be a Trade Floor Compliance specialist providing advice to front office sales and trading staff within the cash equities, fixed income and convertible bonds businesses, with a particular focus to lead the firms public side Market Abuse activities.
- Providing accurate and timely advice to sales and trading staff covering cash equities, fixed income and convertible bonds.
- Assisting with matters relating to regulatory and exchange bodies i.e. FCA, LSE & Takeover Panel.
- Daily attendance of Equity and Fixed Income business morning meetings to ensure all relevant standards are maintained
- Development and execution of the firms MAR monitoring programme.
- Compliance oversight of trade and transaction reporting.
- Identification and tracking of regulatory changes which impact the sales and trading business.
- Lead and deliver Compliance oversight of Best Execution including the production of meaningful MI and Execution Oversight Committee papers.
- Execution of periodic desk reviews across the equity, fixed income and convertible bonds businesses.
- Support in the maintenance / development of the firm’s compliance policies and procedures.
- 2-3 years’ experience in a Compliance role with exposure to sales and trading activity.
- Working knowledge of MAR, COBS, SSR & DTR
- Prior experience of MAR surveillance activity
- Excellent interpersonal and influencing skills.
- Able to work under pressure and produce results without close supervision.
- Ability to handle heavy workload under tight timeframes and prioritise appropriately.
- Good verbal and written presentational skills.
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