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SVP/Director Compliance - Investment Banking

Closing date
16 Jun 2021

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Contract Type
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Job Details

Key responsibilities include:

Compliance Advisory (60%)
  • Continued assessment of current and emerging U.K. regulation and its impact on the Firm across all current and planned capital markets activities
  • On-going development of the compliance framework, including maintaining policies and procedures in a dynamic environment
  • Provide compliance advice and support to existing fixed income / equities sales and trading businesses, and new business initiatives, covering areas such as Exchange listed trading, trade and transaction reporting
  • Develop, maintain and deliver regulatory training and materials, using a variety of formats to business and business support teams
  • Involvement in wider compliance projects and issues across the Firm

Monitoring and Surveillance (40%)
  • Monitoring and surveillance of daily / periodic e-coms, v-coms;
  • Investigation and resolution of daily market abuse alerts;
  • Investigation and resolution of best execution alerts;
  • Maintaining the Firm's monitoring and surveillance and market abuse framework, including MI, risk assessment, policies and procedures;

Expertise required:
  • Proven track record /relevant broad compliance experience gained in a sell-side firm, regulatory body or exchange
  • Direct compliance advisory experience supporting Sales and Trading activity in general equities, fixed income business
  • Strong knowledge and understanding of FCA rules (particularly COBS, MAR, SYSC, COCON, "UK MiFID"), SMCR, and relevant European legislation;
  • Direct experience in working with Monitoring and Surveillance Systems
  • Experience of EMIR, SFTR regulatory analysis and/or reporting would be preferred
  • Good knowledge in Equities and FICC and the relevant regulatory requirement;
  • Excellent planning and organisational skills.
  • Strong interpersonal and communication skills (verbal and written).
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