VP
- Providing compliance advice and support for rates, FX, and commodities (structured) derivatives to the front office
- Reviewing new products, trades, clients, promotional materials etc.
- Policy drafting, regulatory development, and surveillance initiatives
- Conducting compliance reviews
- Assisting in the development of training programmes
- Providing support and advice on the regulatory aspects of complaints handling and litigation
- Helping to manage relationships with the FSA and the FOS
Requirements:
- Must have proven compliance advisory experience to the front office
- This compliance advisory experience must have been in some capacity for interest rates, FX, or commodities products
- It is highly desirable that you have experience of complex structured products, OTC derivatives
- Your experience should either be from an investment bank, buy-side, or clearing firm
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