Global Markets Compliance recruitment

You will advise on and monitor all aspects of the Global Markets (GM) Equities businesses, but with specific responsibility to Equity Derivatives, in order that line management can ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice.

Global Markets Compliance Equities provides compliance coverage to Cash Equities Sales and Trading, Equity Finance, Equity Derivatives and Prime Services.   

There scope of your role will cover these issues

• Global Markets Advisory including (but not limited to) the following desks; Cash Equities Sales and Trading, Equity Derivatives, Equity Finance and Prime Services

• Primary focus on the compliance requirements of Equity Derivatives but cross desk coverage is needed.

• To work with the business on high profile projects to ensure that the regulatory demands of those projects are met.

• To assist line management in resolving compliance problems which arise in the agreed business units.

• Provide compliance input into the GM Due Diligence process and to respond within agreed timescales.

• To provide training to business areas in procedures and practices necessary to achieve compliance.

• To provide compliance support and expertise to other business units within GM when required to do so (e.g. deputise during absence of other Compliance staff).

• Maintain internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.

• Keep up to date and ensure compliance with all relevant internal and external rules, regulations and procedures that apply to the Global Markets business

Requirements

• A good level of Sales and Trading compliance experience in Equities products but with specific experience of Equity Derivatives , Cash or OTC and exchange listed

• Knowledge of Equity Exchange rules and procedures

• Ambition to enhance compliance knowledge and skills in a rapidly changing and dynamic Markets environment. 

• Good report writing skills.

• Sound Judgment

• Knowledge of FSA and European rules in relation to trading

• 5 years + relevant experience

Please do call on 0207 310 8656 or get in touch at tobi.taiwo@ojassociates.com