Equities Compliance
This global investment bank, with offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centres, is actively seeking a Compliance Officer to focus on their Equity Sales Trading business.
Reporting to the Head of Equities Sales and Trading Compliance, you will provide Compliance Support to the various areas within the Equities business on the trading floor.
Responsibilities:
• Provide day-to-day advisory service to the Equities department including equity sales/sales trading, Pan European single stock trading, programme trading, synthetic products, warrants, listed derivatives trading, and Algorithmic Trading. Assist on advising these businesses on FCA and EMEA Exchange rules.
• Based on the Equities trading floor providing real time advice to sales and trading personnel.
• Assist in consulting on and implementing changes in the regulatory environment.
• Assist division in determining risk and compliance impact on new business ventures / particular deal structures
• Develop and deliver training materials as part of ongoing Compliance training program
Developing policies procedures for the various business areas
• Provide support to the rest of the compliance team both regionally and globally on various project initiatives that are underway or in planning from both a compliance perspective as well as those initiated by the business
• Work with the rest of the European Securities Division compliance team on ad-hoc EMEA initiatives and projects as a representative for Equities compliance
• Liaise with regulators, Stock Exchanges and MTFs on real time and post trade enquiries.
Assist in the development of the Firm’s surveillance programme.
Skills required:
• Degree level or equivalent
• At least 3 years experience working in a compliance function with some Equities or trading interaction
• Preferable to have a strong understanding of the various equities products as per the coverage description above.
• Preferable to have an understanding of either the FCA or European Exchange rules.
• Preferable to have had some experience of working on a trading floor in an advisory capacity.
• Essential to be pro-active, self-motivated, assertive and well organised. Ability to resolve conflict and work in an often fast paced environment.
• Essential to have the ability to work independently, but still be a strong team player.
• Flexibility and ability to multi-task and re- prioritise workload.
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