Markets Advisory Compliance Officer – Vice President

Based in London, you will provide Compliance Advisory coverage and act as subject matter expert for regulations that apply to the Markets Line of Business, with a focus on:

• Equity Derivatives
• Benchmark Administration
• Retail Structured Products
• Listed Derivatives
• Asset Management
  

Job Responsibilities:

• Provision of credible, timely and risk-based advice, challenge and support on regulatory matters, including ‘live’ regulatory interpretations and decisions to the business in high profile and/or time constrained situations
• Provision of thought leadership and compliance input to regulatory change management
• Provision of timely and robustly documented input into business initiatives that is consistent with the firm's regulatory and reputational risk tolerances - e.g. new product proposals, business reorganisation, review of specific initiatives/transactions/structures to identify regulatory issues
• Provision of scheduled and ad-hoc training to the business
• Accurate and timely completion of monitoring activities
• Identification, implementation and review of compliance policies, procedures & additional documentation as may be required
• Preparation of materials and act as compliance representative at business forums

Required qualifications, capabilities, and skills

• Familiarity with market structures and products - ideally exposure to at least some of the coverage areas listed above
• Knowledge of the UK and EU regulatory framework as applicable to the coverage areas (e.g. MiFID II, MAR and PRIIPs), and recent regulatory developments, (e.g. Consumer Duty, Retail Investment Strategy)
• Relevant experience of performing a Compliance, Risk or Control role in a global investment bank would be a significant advantage
• Able to work independently and have sufficient experience to know when to escalate an issue is essential
• Possess a high-level of attention to detail and focus on the quality for their work product
• Being proactive, able to think critically about the information presented to them, comfortable with subjective situations, and ready to ask appropriate questions and effectively challenge
• Good team player and will be expected to provide cross coverage of other areas