Director - Credit Trading Compliance Advisory

Hays Financial Markets
London (Greater)
11 Jan 2018
10 Feb 2018
Contract Type
Full Time
The Company:

One of the top investment banks in London seeks a Director level Compliance Officer to lead in the regulatory governance of their Fixed Income division. This is a hugely challenging role as you will be involved in providing regulatory guidance and advice to one of the highest performing trading floors in Europe.

The Role

Reporting to the Managing Director and EMEA Head of Fixed Income Compliance, you will work alongside 3 other Directors and be tasked with the oversight of the Credit Trading division with the following key responsibilities:

- To provide day-to-day compliance coverage for the EMEA Credit Sales and Trading, Loans and Special Situations, ABS and Emerging Markets trading desks.
- To provide advice and guidance on applicable regulations and firm policy issues and requirements.
- Review and approval of new business initiatives and non-standard/complex transactions.
- Assist in preparation and co-ordination of regulatory visits and respond to regulatory enquiries.
- Participate in internal investigations into potential breaches of regulatory requirements or firm policy.
- Liaise with and work collaboratively with Compliance colleagues in other jurisdictions.
- Keep abreast of UK, European and US regulatory developments and participate in department initiatives to consider the impact of such developments on the firm's business and support groups.
- Creation and maintenance of compliance policies and development and provision of appropriate compliance training.
- Preparation of management information for senior Compliance management
- Work closely with Compliance colleagues to improve the Fixed Income surveillance architecture
- Encourage and mentor more junior members of the team.

- Very strong knowledge of the Credit Trading business, its products and services as well as the wider Fixed Income Product suite.
- Excellent interpersonal skills and the ability to lead a team in a pressurised environment
- Educated to degree level
- Ability to take decisions when required and to escalate when necessary
- Strong Fixed Income product knowledge (ideally evidenced with professional exams such as the CISI Bonds and Fixed Income Diploma paper or CFA papers).
- Sound understanding of the markets and structured products
- Relevant experience of working on a Fixed Income trading floor in an advisory capacity, reviewing and approving significant transactions.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at
This job was originally posted as