Listed Derivatives – Compliance Advisory Officer recruitment
The Role
You will be working as a Compliance Officer providing front office regulatory advice and guidance relating to internal policies and regulations in regards to Listed Derivatives.
Working with senior front office business leaders you will be required to give 'real-time' opinion.
Reviewing and commenting on a wide range of new business and product proposals to spot and address any compliance, regulatory and reputation risks.
In supporting the Head of this team the candidate will provide real time advisory support to the listed derivatives business unit.
The candidate will be involved in developing policy as it pertains to listed derivatives; including the education and training of business unit personnel. The candidate will also be primarily responsible for the execution and management of the team's desk review and test check activities
In addition to advisory, policy and training the candidate will also play an integral role in the implementation and rollout of listed derivative related projects.
This will mean entail working closely with individuals within Sales and Trading; Operations and IT.
The candidate will also be the first point of contact for the various derivative exchanges of which the Investment Bank is a member.
So as to ensure a consistent approach the candidate will be required to work closely with other professionals in the Legal Compliance Department; both within EMEA and globally.
Requirements
Previous regulatory experience within an investment bank; preferably within a sales and trading environment or at a derivatives exchange.
Experience coming from a European Stock Exchange or a Futures and Options trading house.
Sound derivatives experience; with a focus on listed derivatives.
Familiarity with European; specifically UK compliance issues and relevant law and regulation
To discuss please do get in touch on 0207 310 8656
