VP Compliance Advisory, Trading and Liquidity

One of the world’s preeminent asset management firms is searching for a Vice President to join their successful Compliance Advisory function.

You will be responsible for providing qualitative compliance advice to the various business divisions in respect of activities, products and services within the EMEA region.
The role itself sits within the ‘Compliance Advisory Trading and Liquidity Strategies’ team. The team is responsible for providing Compliance support for Equity, FI and FX trading desks, Global Capital Markets, Securities Lending, Prime Brokerage, Finance and the Transitions Management groups.

Key responsibilities will include:
- Oversight, training and coaching of more junior members of staff
- Co-ordination with Regulatory Compliance colleagues within EMEA and globally
- Mitigation of regulatory and compliance risk across EMEA
- Act as compliance representative on various business governance committees, or acting as delegate where applicable

The ideal candidate will have:
- Relevant experience of financial services, acquired in a Compliance, Legal or Consultancy role
- Previous experience of front office advisory or control room in a sell or buy side environment
- Strong working knowledge of the FCA Handbook, Takeover Panel Code and other EMEA regulatory requirements
- Strong understanding of systems and controls requirements, with an ability to design and implement rigourous systems and controls frameworks
- A proven track record of successful relationship management at a senior level
- Good familiarity with the trading environment

For more information, please contact Katy Quicke at Hays on 0203 465 0110

October 22, 2014 • Tags:  • Posted in: Financial

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