Associate
A major international Investment Bank requires a Trading Floor Compliance Associate to join their team. This is a fantastic opportunity to gain trade floor experience at an early stage of your career.
The Company:
The firm is based in Canary Wharf and has long had a strong presence in the Fixed Income trading markets. Coverage is broad inclusive of Credit, FX, Rates, Exchange Traded Derivatives, OTC Derivatives and Commodities. As a small team, supporting over 200 trading staff, the Trading Floor Compliance team provides on the floor advice on all regulatory issues affecting the business.
The Role:
You will be required to provide a wide range of advisory
- Promote a strong culture of compliance throughout the Firm;
- Lead new business initiatives from a compliance perspective, in a wide range of services, from new client onboarding to new jurisdictional set up, covering a very wide range of jurisdictions and products.
- Establish and maintain a compliance risk management program
- Establish and maintain a risk-based program of monitoring and testing coverage across the division;
- Report and address significant compliance weaknesses as and when required
- Provide management and staff with advice, guidance (including policies and procedures) and training so they are familiar with the laws, regulations and policies associated with their responsibilities;
- Establish and maintain a framework for managing significant regulatory communications and relationships;
- Maintaining a compliance function that is independent and effective
The Candidate:
- University Degree
- 2-3 years experience in Compliance - preferably in Public Side Advisory however candidates from the Control Room or Trading Surveillance will also be considered.
- Strong understanding of UK Regulation
- Willingness to assume responsibility for critically important issues within the business
- Excellent verbal and written communication skills
This is an excellent opportunity to progress your career in an Advisory capacity with great prospects for career progression. As a global bank with an excellent presence in Europe, the Middle East and Asia there are numerous directions your career could progress.
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