Trade Floor Reg Compliance Director

Main Duties

Assess data and make informed decisions and sound subjective judgments to monitor trading activity for compliance with the relevant rules and regulations.

Escalation to LOB Supervisors of issues that require attention

Handle "on-the-fly" requests from LOB Heads and trading staff for situation specific advice which may involve requesting interpretations.

Identify key trade and risk attributes.

Assist in maintaining comprehensive professional reporting templates.

Present to stakeholders within the organization including Line of Business Management and work with technology partners to ensure timely and effective technology program delivery.

Communicate high order concepts in concise and meaningful way.

Conduct user acceptance testing of new technology implementations.

Ability to challenge others about any action in an appropriate and balanced manner. They shall also be able to follow-up on any concern;

Overall understanding of the Operating Group and/or assigned BU(s);

Direct access to all operations within their assigned BU(s), which includes access to all documents if the incumbent believes are relevant for the effective execution of their compliance responsibilities;

The authority to direct the BU(s) under their responsibility to perform monitoring when it is considered necessary and/or at the direction of the OGL and/or the Compliance Group;

Enabled to attend any meetings if the incumbent believes such is relevant for an effective execution of their compliance and oversight responsibilities;

Appropriate access to all levels of Management in their assigned BU(s) as well as the OGL and the Compliance Group, as required

Experience Required

• University undergraduate degree is required but a graduate degree and/or professional designation is preferred - MBA, CFA or JD…etc.
• The candidate should have several years of experience in a Compliance or Regulatory function covering a major Broker-Dealer/Bank and/or trading experience.
• 10 years of relevant experience in the financial services industry in corporate and/ or investment banking areas.
• Awareness of the business activities, including business strategies, products and corporate areas.
• Strong knowledge of the regulatory and compliance requirements applicable to the activities undertaken by Global Markets in UK and Europe (e.g. FCA, PRA, ESMA, CBI, AMF, MiFID)
• Strong awareness of the control environment to manage and mitigate regulatory compliance risks.
• Understanding of key end-to-end processes related to relevant Capital Markets businesses