Compliance Officer
Full Job Description
The successful candidate will be part of a team providing compliance support to the Fixed Income, Currency and Commodities department.
The individual will be responsible for providing advice to, and training and monitoring of, the Research Desk Strategy departments; as well as providing support and acting as the point of contact for members of management.
The individual will provide compliance advice to the wider business on Research and Desk Strategy related issues, including permitted interaction with other parts of the business and compliance issues related to content. They will work very closely with the Supervisory Analysts, editorial and publishing teams to ensure research is produced according to regulatory requirements.
Liaison with global counterparts is also expected to ensure global consistency of the Research Desk Strategy products and involvement in global projects as necessary.
The individual will also be involved in Compliance initiatives across the department, assisting with training, policy and procedure developments and other ad hoc projects as required. The individual will also assist in providing support and advice to other businesses within the department as required.
Required:
At good amount of experience in a research or compliance advisory role or control room position, preferably from a full service Investment Bank
Understanding of the UK FSA Conduct of Business rules, Global Settlement rules as well as FINRA and US securities laws.
Understanding and appreciation of fixed income markets-products is essential as is a broad understanding of FSA rules relating to research and conflicts of interest.
Knowledge of research disclosure requirements is essential under UK rules as well as for APAC and US.
Desirable:
- Graduate and or professional
- Sound understanding of Fixed Income products
Global bank
Competitive basic + flexible benefits + discretionary bonus
Where specific UK qualifications are required we will take into account overseas equivalents.
Please quote Michael Page reference when applying Job ref:MPGX13258826
Michael Page International is a world leading recruitment consultancy.
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