Capital Markets Regulatory Conduct SME
Principal Responsibilities
? Principally act as a designated expert in the field of wholesale conduct regulation.
? Lead thematic projects aimed at highlighting best practices and clarifying grey areas of wholesale activities in relation to wholesale conduct issues.
? Develop policy proposals to achieve the business strategic aims and outcomes, in-line with various regulatory risk/policy issues.
? Provide specialist guidance on the conduct of business rules for Capital Markets including how they need to be interpreted and applied to wholesale banking activities
? Take an active lead on both International and European regulatory policy development.
Required Experience
? Proven understanding of the UK financial regulatory regime with a detailed knowledge of the conduct of business rules.
? Strong product and capital markets industry knowledge (i.e.; knowledge of equities, OTC, bonds, options and/or commodities products and markets) with practical experience in the application the FCA's conduct of business and organisational requirement in these asset classes.
? Specific order/best execution expertise, as well as a solid understanding of the conflicts of interest framework is required.
? Strong research and analytical skills with the ability to develop and review policy options objectively and dispassionately.
? An excellent ability to analyse and translate complex issues and make recommendations to or communicate with others verbally and in writing in a way that can be understood by non-technical audiences.
? Knowledge and experience of the European regulatory framework
? A background in compliance, Regulatory Advisory or Legal essential
Leave a Reply
You must be logged in to post a comment.