Compliance Advisory Officer

London, UK
01 Oct 2019
13 Nov 2019
Contract Type
Full Time
Role description:

Reporting to a senior member of GM Compliance Advisory, the position will involve:
  • Provide day to day regulatory advice, assisting and resolving compliance and regulatory issues arising from GM business activities
  • Performing regular and ad-hoc monitoring and review
  • Advising the business on relevant rules and requirements applicable to the business
  • Key stakeholder for applicable regulation (e.g. MiFID, EU Benchmark Regulation, AIFMD, UCITS etc.) and FCA Thematic Reviews
  • Keeping up to date with regulatory changes affecting the business
  • Stakeholder in the regulatory projects (Mifid ll, Benchmarks Regulation and PRIIPS), tracking progress and reporting project results to ensure efficient and successful implementation
  • Analysing and impact assessing new regulations and briefing senior management accordingly
  • Participating in internal and external enquiries including, exchange enquiries, due diligence questionnaires and client on-boarding queries
  • Dealing with regulatory enquiries
  • Provision of regular and ad hoc training to the business on regulatory issues
  • Provide management information
  • Understand and keep up to date with the firm's business, products and the regulatory and commercial environment in which it operates to ensure that appropriate compliance policies, procedures and standards are implemented

Key objectives critical to success:
  • Strong knowledge in regulatory affairs with regard of Global Markets businesses
  • Strong knowledge and understanding of FCA rules (particularly COBS, MAR, SYSC and COCON) and relevant European legislation.
  • Good knowledge in OTC derivatives (IRS, FX derivatives) and the relevant regulatory requirements
  • Good knowledge and understanding of Global Markets businesses.
  • Ability to work well under pressure and move between tasks quickly
  • Ability to follow direction and manage expectations
  • Strong approach to problem solving
  • Genuine interest in the Financial Services industry
  • Willingness to work in a trading floor environment with constant interaction
  • Have the drive and determination to assist with development of the Compliance function and will seek opportunities to add value

Skills, experience, qualifications and knowledge required:

  • Knowledge of rules and regulations relevant to a Global Markets business (UK, EU, US, Trading venue, Cross Border etc.)
  • Methodical with excellent attention to detail
  • Good verbal and written communications skills with ability to communicate with sales/trading desks and relevant corporate support functions.
  • Well-developed analytical skills and ability to distil large quantities of complex information into high level briefings and impact analysis
  • Strong organizational skills and an ability to work to short deadlines
  • Good team player who can interact well with individuals within the Compliance team and others in different business divisions

  • Knowledge of EU Benchmark Regulation, AIFMD, UCITS, PRIIPS, RDR, MAR and Mifid ll rules
  • The candidate must be able to provide advice in a clear and concise manner

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