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As Senior Compliance Officer, you will support the Head of Markets Compliance on the compliance programme concerning new activities, transactions, other arrangements, and implementation and management of relevant global compliance policies.
Provide compliance advice on Compliance issues related to transactions, products or relevant Global Markets business' in the UK and EMEA
Dealing with and answering regulatory compliance and exchange trading related questions that arise from the relevant Global Market business'
Provide compliance support to the relevant EMEA Financial Markets Compliance heads, the UK Head of Financial Markets Compliance and Global Head of Financial Markets Compliance
Contribute to the developing, maintaining and implementation of compliance policies, compliance standards and compliance procedures to identify actual or potential market abuse scenarios, insider dealing activities, conflicts of interest and other compliance risks
Develop strong working relationships with senior Global Markets management and key stakeholders
Working collaboratively with the wider Compliance Departments and other Functions
Contribute to the new activity/transaction approval committees as necessary
Contribute to the relationship with local Regulators in support of the UK Head of Global Markets Compliance and the Head of Compliance
Advise the business' on the impact of exchange, trading venue and CCP rules and regulatory changes
Contribute to the design and delivery of compliance training for relevant Global Markets business'
Existing Compliance Advisory experience within investment banking across multiple asset classes.
Knowledge of UK and EU compliance regulatory rules and their practical application to a commercial business.
Experience working on the trading floor as a Senior Compliance Officer coupled with first-class communication skills to interact with front office personnel and management.
The employer has an excellent compliance culture descending from senior management, a positive reputation for work-life balance, high bonuses and an extremely competitive benefits package. There will also be the ability to work from home occasionally.
If you are interested in this opportunity and would like to apply or would like further information, please submit your CV. Alternatively, call Pritesh Chudasama on 0203 637 1607 for a confidential conversation.
Please note, should feedback not be received within 28 days, due to the large volume of applications; unfortunately, your application has been unsuccessful. However, I may be in touch with similar relevant opportunities in the future.