Equities Compliance Advisory
A position has arisen for an experienced Compliance Officer to work within the existing EMEA Equities Compliance team. The role, which will be based in a trading environment, comprises the provision of advisory, education and monitoring services to all traded Equity products. The successful candidate will also be required to lead new business proposals and project work and to provide training and education to the businesses supported. The role will also involve support for other aspects of the Equities Compliance team's work.
Qualifications / Skills / Experience
The ideal candidate will be a graduate / professional with extensive post qualification compliance experience with exposure to an equities advisory environment.
Candidates will demonstrate:
* A thorough understanding of equities products, markets and clients. Good appreciation and experience of the core functions carried out by an Equities Compliance Team.
* Knowledge of European regulation and the ability to provide practical and immediate interpretation of regulations in the context of the firm's business activities.
* Must be an excellent team player, prepared to take the initiative, assist colleagues, and able to liaise with management at the most senior levels. Must have a collaborative approach to achieving goals, actively share information, be able to deliver solutions and understand the requisite balance between self-sufficiency and escalating issues. Flexibility and willingness to undertake a variety of roles are also essential, including within other business areas supported by Equities Compliance.
* Excellent communication skills (both written and oral) and an ability to make and present persuasive arguments to support the views/opinions given to European Equities management and front office/support staff.
* Pragmatism and the ability, when under pressure, to 'think on your feet', balancing commercial objectives with legal, regulatory and ethical considerations to arrive at sound judgements and decisions.
* An ability to build and sustain strong relationship with Equities personnel and colleagues in Legal Compliance.
* Self-motivation, confidence, an out-going and enthusiastic nature, tenacity, diplomacy and a good sense of humour.
Strong Equities advisory experience is essential.
If you are interested in finding out more about this role. Please contact Aaron Bolton on 02033016303 by phone or aaron.bolton@blackswangroup.com. Alternatively contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com
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