Compliance Division Securities Associate/VP recruitment
BUSINESS UNIT AND ROLE OVERVIEW
Based on the London trading floor, will work as part of the European Securities Division Compliance Team to cover the European FICC Businesses. Products include interest rate FX derivatives, money markets, fixed income securities and currencies. The candidate will be required to work closely with sales, structurers, traders and also other departments, such as Legal, Controllers, Credit and Internal Audit.
RESPONSIBILITIES
• Providing advice on individual transactions, new products and business initiatives, with particular focus on OTC derivatives
• Review of marketing materials termsheets
• 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
SKILLS / EXPERIENCE / QUALIFICATIONS
• At least 5 years of compliance, legal, accounting or business (eg sales, structuring, trading) or other relevant experience involving the securities or financial businesses
• Good understanding of complex OTC derivative products including interest rate and FX derivatives
• Good interpersonal skills, a team player who is able to prioritize in a fast moving, high pressure, changing environment
• Excellent communication skills both written and oral.
• Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
• Ability to handle multiple tasks simultaneously and work under pressure
• Foreign languages would be an advantage