Current Opportunities

Our client is committed to an inclusive culture

UK Debt Business Line Compliance – GCT

Immediate Start

Our client is committed to an inclusive culture that embraces, leverages, and respects the diversity of their people, clients, and communities in order to reach their aspiration to be the leading client-centric global universal bank. They foster an inclusive and respectful work environment where every employee can contribute his or her best work, succeed based on merit, and be rewarded appropriately. They have retained E2W to help them recruit female candidates for a UK Debt Business Line Compliance role.

You will be a member of the Fixed Income Compliance team covering Sales and Trading related activities and Structured Finance.

Key Responsibilities:

  • Providing advice and assistance on the application of rules and policies, to specific transactions/deals, and general business activities based on an understanding of business strategies and product lines
  • Providing advice in accordance with regulatory requirements and/or the Groups local/global policies and procedures
  • Monitoring key regulatory changes and notifying the relevant business division
  • Providing effective communication for key regulatory changes, to the business via policies, procedures, alerts, training or other applicable method
  • Reviewing new business/product initiatives, for consistency with regulatory requirements and provide advice to the business on compliance requirements, as part of the New Product Approval (NPA) process
  • Assisting the business in establishing policies and, Key Operating Procedures (KOPs) to meet regulatory requirements and to reduce and/or avoid regulatory and reputational risk
  • Partnering with other control functions i.e. Audit, Operations, Legal, central compliance, credit, etc. when matters of common or collateral concern arise
  • Identifying business training needs and providing appropriate training, either individually or in conjunction with the Training department
  • Developing and reviewing on an ongoing basis, applicable Compliance policies and procedures
  • Assisting in the Annual Compliance Control Framework  (CCF) assessment

Skills & Qualifications:

  • An understanding and up-to-date working knowledge of European financial services regulation, including MAR, MiFID II and the FCA Handbook 
  • Strong knowledge of relevant fixed income products (Bonds, Interest Rate Derivatives, Credit, structured finance/structured transactions, etc.)
  • The ability to interpret, understand and advise all levels of seniority in the business of an appropriate course of action on a broad range of legal and regulatory provisions
  • An excellent communicator both verbal and written
  • The ability to communicate  with other members of the team, as well as other infrastructure functions and the business (including senior management)
  • Experience of private side compliance advisory (not essential)
  • Educated to Bachelor degree level or the equivalent experience or qualifications
  • Proactive and execution focused
  • A self-starter with an ability to work independently with minimum direction and ability to show and demonstrate initiative
  • Able to interpret, understand, advise upon and formulate an appropriate course of action on a broad range of regulatory provisions
  • Able to analyse regulatory and reputational risk and where necessary escalate matters to the appropriate management level

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