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Provide compliance advice and support the fixed income / equities sales and trading businesses, covering areas such as Exchange listed trading, operational trade research, Trade and Transaction Reporting, market conduct issues; research restrictions, and the management of conflicts in conjunction with the Control Group;
Provide compliance input into business development projects, from the introduction of new system infrastructure to new product/jurisdiction business initiatives;
Involvement in wider Equities Compliance projects and issues across the equities product group and investment banking and finance;
Assisting with thematic desk reviews;
Resolution of Exchange, regulatory and internal investigations and enquiries;
Key tasks: Input of data into the surveillance model; investigation of identified issues; review of targeted business areas/practices against internal procedures and external regulatory framework; production of review reports identifying issues and proposing remedial action;
Surveillance and Best Execution:
Daily communications and transaction surveillance duties;
Ongoing technical development of the conduct risk, market abuse and best execution frameworks.
Internal Number: 5752516
About Holmes Search
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