Compliance Advisory - Sales and Trading

7 days left

02 Feb 2017
02 Mar 2017
Contract Type
Full Time

Compliance Advisory - Sales and Trading

An exciting opportunity has become available at a leading financial institution looking for an Advisory Compliance Officer to join its Compliance department.

This role will be part of the Advisory team reporting directly to the Head of Advisory (who in turn reports to the Chief Compliance Officer.)

Some key responsibilities of the role are outlined below although his is not an exhaustive list:

  • Act in role of trusted advisor for compliance matters across relevant product areas
  • Provide high quality compliance support to the firm on all related regulatory matters, with a primary focus on public side departments including Equity, Fixed Income and Derivatives Sales and Trading
  • Responsible for being a Compliance Lead on all appropriate regulatory change work-streams, primarily converging on regulatory change initiatives which may impact public side departments
  • Assist in the design and implementation of an effective Compliance Risk Assessment program
  • Assist in the implementation of an Annual Compliance Plan
  • Assist with staff training on required Compliance and Conduct materials
  • Assist with preparation and responses to internal and external regulatory audits
  • Monitor UK and global regulatory developments , identify new regulations that impact the business and recommend appropriate action
  • Review and assess suspicious transactions reports
  • Identify areas of interest where you can become a subject matter expert

For this role you need to have a thorough knowledge of relevant FCA Rulebooks as well as prior experience interpreting these in wholesale financial markets.

You will also require good knowledge of the structure and nature of MiFID and its Implementing Directive as well as some general understanding of the European perspective of financial regulation.

Previous experience of providing compliance advice to Sales and Trading departments as well as some AML experience and familiarity with JMLSG would also be desirable.