Cash & Derivatives
Their primary objective is to ensure that the business adheres to local regulatory requirements and group policies with a specific focus on cash and derivatives within prime services.
Responsibilities:
- Deliver advisory compliance support to the prime services business which includes advice on the application of global compliance policies, exchange rules and other regulations
- Assist in driving forward the regulatory change components affecting the prime services business, ensuring appropriate collaboration with the business and other shared service functions to effect issues arising from the regulatory change programme
- Development and delivery of high quality compliance training across equities
- Undertake an active role in completing all compliance reporting processes, MI obligations and trade surveillance activities
- Oversight, ownership and effective management of material control and regulatory incidents, audits, inspections within the prime services business
Required:
- Relevant background from within the compliance function of a global financial services firm preferably investment banking
- The candidate would ideally have experience in advisory having worked on the trading floor with front office
- Sound knowledge of the FCA/PRA rulebook is essential especially around the product areas of cash and derivatives
- Strong communication skills and proven ability to deliver the compliance message in fast paced and pressured environment are vital
The client is a global organisation with business lines covering investment banking, asset management, securities services and private banking. They have an admirable reputation in the market and are a firm intent on building out their risk and controls function to set a high standard in the industry for financial services compliance.
Apply below or to find out more about the Cash Derivatives - Compliance Advisory AVP job contact Tomas Strelczak on tomas.strelczak@robertwalters.com or call +44(0) 207509 8095 quoting the reference 1895150.
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