– Build an understanding of the business lines, including booking models, products, transaction types and nature of business.
– Maintain and build relationships with the business, as well as support and control functions. Manage those relationships in a professional manner to maintain Compliance independence.
– New business proposals versus pertinent laws and regulatory requirements including coordinating with global Advisory Compliance teams where required.
– Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.
– Provide real-time advice to the business regarding proposed transactions in a timely manner.
– Assist internal stakeholders where required with product and/or market expertise, such as Trade Surveillance, Risk, Internal Audit, Operational Risk, Operations.
– Create and deliver training to the business and other functions as required, covering topics such as market abuse, trading venue rules and other topics pertinent to specific business lines.
– Creation and review of Advisory Compliance policies and procedures.
– Review escalations of potential market abuse from internal trade surveillance partners, the business and others. Provide analysis and reasoning to senior management as required to assist in escalation decision making, including preparation for potential STOR submissions.
– Assist with responding to any relevant regulatory requests.
– Knowledge of major industry regulations such as MiFID II, EMIR, MAR.
– Solid understanding of FICC markets/products
If interested, please apply below. Alternatively, email email@example.com
In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.