Markets Compliance Officer
Duties:
Regulatory advice and guidance to IPED and their respective support areas (i.e. Legal, Risk, Business Managers Ops, IT etc)
Compliance support in a proactive and pragmatic manner to assist in achieving the business goals within a strong compliance culture.
Compliance and Regulatory guidance and advice on all new products and product changes, including participation in the relevant review committees. Engagement with all respective areas in the pursuit of providing guidance and advice for the development of products (both current and proposed).
Proactive engagement with all other areas of the regulatory risk department including but not limited to assisting the monitoring unit responsible for periodic desk reviews and test checks.
Identification, review, dissemination and oversight responsibility of relevant changing or proposed legislation/regulation and the impact on the Equities Division.
Drafting / reviewing policies and procedures in conjunction with colleagues in Group Compliance.
Delivery of Compliance training, including new joiner, refresher, hot topics etc.
Essential experience:
Ability to interpret, articulate and explain complex rules, regulations, policies and procedures in a fast paced environment.
Technical Knowledge - High calibre understanding of derivative products and thorough understanding of issues affecting structured retail products business ideally gained from recent experience in the market;
Strong technical understanding of relevant legislation and rules; including knowledge of issues that impact on structured retail products;
Excellent interpersonal and communication skills with the ability to build effective partnerships with the business, central services and management;
If this role sounds like it would potentially be of interest and you have the relevant skill set and background, please apply now for more information.
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