(Head of & AVP) Equities Compliance Officer – Investment Bank
Equities Compliance Officer (both HEAD OF and AVP position) are needed by a leading Investment Bank. This is a top tier Investment bank seeking to expand the team and specifically focusing on the Equities division’s wealth management.
The team has a wealth of experience and talented individuals, renowned for their excellence within the bank and in industry. The main focus will be to provide advisory services to the retail structured products and OTC Equity Derivatives businesses in EMEA.
HEAD OF RETAIL STRUCTURED PRODUCTS (RSP) OTC EQUITY DERIVATIVES responsibilities:
- Advisory services: providing to the business units and support control functions in relations to the interpretation and application of relevant law, regulation and rules.
- Policy and training programme: Contributing to an on-going programme of policy, training and awareness.
- Business Engagement: Engaging senior stakeholders within the business and support control management to integrate and establish yourself as a trusted advisor with respect to regulatory matters.
- Monitoring Testing programme: Contributing to an on-going programme of desk reviews, surveillance and test checks.
- Regulatory/exchange liaison: interacting from time to time with various regulatory bodies
- Regulatory Reform: Advising the business unit and support control functions.
- Team Management: Providing support and direction to the team.
To be considered for this role, you need to have the following:
- Knowledge and experience of equities/derivatives and specific RSP knowledge and regulations.
- Ability to build relationship of trust with senior stakeholders
- Team leading and managing experience
- University graduate/equivalent degree/regulatory qualification (highly desirable)
EQUITIES COMPLIANCE OFFICER (AVP) responsibilities:
- Support the Head of RSP OTC Equity Derivatives
- Advisory services: Supporting manager and other team members in providing advice on compliance with regulation in context of a wide spectrum of activity; including transactions, new products/initiatives, situations and regulatory reform
- Monitoring: conducting desk reviews, surveillance and test checks.
- Regulatory/exchange liaison: interacting from time to time with various regulatory bodies.
To be considered for this role, you need to have the following:
- Equities product knowledge and regulations awareness
- Can demonstrate you can excel and achieve beyond expectation
- Strong academics
- Significant key achievements in your career up to date.
If you would like to know more about this position (or similar roles) please give me a call on 0207 092 3241 or drop me an email on d.bowenwright(at)eamesconsulting.com. Also please feel free to forward to someone that you know that will be interested in these roles or similar roles.
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