Associate
Top Tier Investment bank requires an Associate to join their Equities Compliance Advisory team in London.
The Client:
Recognised as one of the leading Investment Banks in the world and a Top 3 player globally for the Equity Markets, the firm has an outstanding reputation across trading, cash equity sales, equity derivative trading, ECM and corporate advisory. As a member of the markets team, your principal focus will be on Cash Equity Sales and the Derivative Trading markets.
The Role:
Provide day-to-day advisory service to the Equities department including equity sales/sales trading, Pan European single stock trading, programme trading, listed derivatives trading, High Frequency Trading and Algorithmic Trading. Assist on advising these businesses on FSA and EMEA Exchange rules
- Assist in the development of the Firm's surveillance programme and monitor certain trading activities for compliance with applicable rules and internal policies.
- Assist in consulting on and implementing changes in the regulatory environment.
- Assist division in determining risk and compliance impact on new business ventures / particular deal structures
- Develop and deliver training materials as part of ongoing Compliance training program
- Developing policies procedures for the various business areas
- Provide support to the rest of the compliance team both regionally and globally on various project initiatives that are underway or in planning from both a compliance perspective as well as those initiated by the business
- Work with the rest of the European Securities Division compliance team on ad-hoc EMEA initiatives and projects as a representative for Equities compliance
- Liaise with stock exchanges on enquiries.
The Candidate:
- Degree level or equivalent
- At least 2-3 years experience working in a compliance function with some Equities or trading interaction
- Preferable to have a strong understanding of the various equities products as per the coverage description above.
- Preferable to have an understanding of either the FSA or European Exchange rules.
- Preferable to have had some experience of working on a trading floor in an advisory capacity. Essential to be pro-active, self-motivated, assertive and well organised. Ability to resolve conflict and work in an often fast paced environment.
- Essential to have the ability to work independently, but still be a strong team player.
- Flexibility and ability to multi-task and re- prioritise workload.
Candidates with strong Control Room experience will be considered.
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