Markets Compliance Officer - VP
Location: Greater London
Job Type: Full time
This is an advisory role covering equity market activities in various forms across all developed and emerging market EMEA jurisdictions. As such, the work is varied and time critical.
Duties and responsibilities:
- provision of real-team advice and support on regulatory matters to the EMEA Markets businesses (with a focus on Equity Derivatives, Benchmark Administration, Global Clearing, listed derivatives and asset management).
- provision of advisory support and relationship management within the EMEA Markets businesses.
- manage relationships with the businesses at all levels.
-provide ‘live’ regulatory interpretations and decisions to the business in high profile and/or time constrained situations
-provide back-up support to the equity businesses generally
-undertake analysis and input to new product proposals, business re-organisations, other ad hoc projects, etc. e.g. review of specific initiatives/transactions/structures to identify regulatory issues
-liaise closely with the Legal Teams covering these businesses to identify and manage the regulatory risks associated with specific transactions and the businesses as a whole.
-provide training to the business
-perform reviews of transactions and business areas
-identification and appropriate escalation of issues to the EMEA Head of Equity Derivatives Compliance
Experience / Qualifications
- compliance experience gained within a similar Compliance environment
- exposure to equity markets
- knowledge of at least some of the areas covered by the team, i.e. Equity Derivatives, retail structured products, asset management, clearing, listed derivatives, benchmark administration
-well developed interpersonal skills and a good team player
- knowledge of the FCA rules (including COBS), and key EU regulations such as MiFID II, MAR and PRIIPs,
- excellent client handling skills, a self-confident and proactive approach to their work and a desire to work at the forefront of an equity business widely recognised as one of the leading players in this market.