Compliance Advisory
Our client is a leading Investment Bank looking for a Compliance Advisory candidate in the Securities division.
The successful candidate will work as part of the European Securities Division Compliance Team to cover the European FICC Businesses required to work closely with sales, structures, traders and also other departments, such as Legal, Controllers, Credit and Internal Audit.
Role Responsibilities:
* Providing advice on individual transactions, new products and business initiatives, with particular focus on OTC derivatives.
* Review of marketing materials term sheets.
* Trade consultation.
* Monitoring of sales trading activity to ensure compliance with appropriate rules, regulations firm policies.
* Conducting counterparty due diligence to ensure compliance with Firm policies regarding capacity, authority and suitability.
* Creating and implementing compliance training programs for business unit professionals.
* Developing policies, procedures and best practices for each business unit.
* Keeping up-to-date with relevant regulatory/rule changes including the analysis and implementation of such regulatory/rule changes.
* Participating in regulatory and internal investigations and audits.
Personal qualifications:
* A strong relevant compliance background.
* Good understanding of complex OTC derivative products including interest rate and FX derivatives.
* Strong compliance advisory capability.
* Excellent communication skills.
* Able to build and maintain relationships.
* Ability to speak a foreign language would be an advantage.
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