EMEA Disclosure of Interest - Compliance Officer - Associate
Location: Greater London
Job Type: Full time
The EMEA Disclosure of Interest (DOI) team, part of Compliance, Conduct and Operational Risk (CCOR) organisation is seeking an associate based in London or Bournemouth to join the team. The EMEA DOI is responsible for disclosing the Firm’s principle and fiduciary holdings to satisfy EMEA regulatory requirements and enquiries from regulators, internal parties, and issuers.
- Monitoring and disclosing positions/trades according to relevant takeover regulations, shortselling and major shareholding fillings
- Liaising with other areas of Compliance (e.g. Control Room, Line of Business - LoB) regarding trading restrictions/approvals and possible breaches
- Prevent breaches of ownership thresholds and to restrict holdings in particular industries or to comply with additional notification obligations (e.g. energy companies in Spain, strategic enterprises in Russia)
- Responding to queries from Compliance or the Business - e.g. performing position searches (to assist with: conflicts of interest checks, gauging disclosure implications of proposed transactions etc.); advising disclosure requirements etc.
- Keep abreast of regulatory changes as it impacts the relevant disclosure rules
- Act as a central contact for financial regulators in the event of questions/queries raised
- Advise off-shore DOI team and act as first point of escalation/engagement
Required qualifications, capabilities, and skills
- Successful track record working in a financial institution and familiarity with DOI functions and systems will be an advantage
- Self-starter, capable of working under minimal supervision
- Adept to multi-tasking and meeting deadlines in high-pressure environment
- Results oriented team player with a consistent track record of driving tasks quickly and accurately to fruition
- Strong problem solving ability coupled with the ability to recommend and make decisions autonomously
- Exceptional research and analytical skills with the ability to analyse large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately
- Strong interpersonal and verbal/written communication skills, proficient in MS Office (Outlook/Word/Excel/PowerPoint)
You’ve got this!