Equities Compliance Officer recruitment
Equities Compliance Officer required by a leading banking organisation for their London office.
This is working with a primary focus on the Prime Brokerage business. You will provide support to the various areas within the PB business which will include Sales, Stock Loan, Client Services, Consulting, Risk and Capital Introductions and will be able to work in a multi dimensional business that is heavily client focused and organize their time to deal with time sensitive issues as well as daily obligations and project workload.
Duties include:
Provide day-to-day advisory service to the Prime Brokerage department including team leaders and senior management on their various requests.
Provide compliance coverage to the other business areas covered by this team where needed. These other areas include Futures (sales and trading) and electronic trading (including DMA, algorithms, smart order routing etc)
Provide support to the rest of the compliance team both regionally and globally on various project initiatives
Developing policies procedures for the various business areas within PB
Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses.