Fixed Income Compliance VP – Rates & Credit – Contract recruitment
You will be focusing closely on Rates and Credit
Main Responsibilities Include
Provision of essential regulatory advice and direction to the Front Office and support functions.
Identification of regulatory issues impacting transaction authorisation, structure, execution and marketing with the provision of potential solutions and structural alternatives (where possible).
Determination and escalation of reputational issues, pre-emption and prevention of regulatory breaches with potential adverse impact.
Building and maintaining effective business partnerships within the Fixed Income business.
Advising senior management on changes that will affect the Fixed Income team.
Ensuring that Market Abuse and related Chinese Wall issues are identified and appropriately managed.
Involvement in regular front office reviews.
Ensuring the business conducts its activity in accordance with all relevant regulatory requirements and GBM Regulatory Risk policies and procedures and that failures and shortcomings are reported.
Key Requirements.
Strong experience in a Fixed Income environment, with knowledge of applicable local banking and financial services laws, rules and regulations, including the FSA Handbook (in particular Conduct of Business, Code of Conduct, Training and Competence, Client Assets, Transaction Reporting); ICMA rules; MiFID; other relevant cross-border regulations; general banking, trust and contract law.
2 Years plus Fixed Income experience.
Please do feel free to get in touch on
02073108656 or email at tobi.taiwo@ojassociates.com