Current Opportunities

Vice President, Regulation, Compliance and Anti-Financial Crime

Compliance Advisory Manager

Full Time
London

You’ll be joining the Global Markets (GM) Fixed Income Compliance team, which covers Global Credit Trading, related Sales and Structured Finance.

 

Key Responsibilities:

 

  • Providing advice to Sales, Trading and Structuring staff regarding applicable laws, rules, regulations and the clients policies/procedures on a timely basis
  • Reviewing and providing opinion on new business initiatives and transactions
  • Supporting the broader compliance advisory team with compliance projects and regulatory change initiatives
  • Drafting and reviewing policies and procedures, resulting from regulatory developments
  • Advising the business on the establishment, improvement and documentation of their controls
  • Delivering face-to-face training to the business on regulatory matters

 

Skills & Qualifications:

  • Understanding and up-to-date working knowledge of European financial services regulations, including MAR, MiFID II and the Financial Conduct Authority (FCA) Handbook  
  • In-depth knowledge of relevant fixed income products (Credit, Asset Backed Securities, structured finance/structured transactions & derivatives)
  • Ability to interpret, understand and advise all levels of seniority of an appropriate course of action on a broad range of legal/regulatory provisions
  • Excellent communication skills, both written and verbal
  • Experience of private side compliance advisory would be beneficial
  • A self-starter with an ability to work independently with minimum direction, whilst demonstrating initiative
  • Ability to interpret, understand, advise upon and formulate an appropriate course of action on a broad range of regulatory provisions
  • Capable of analysing regulatory and reputational risk and, where necessary, escalating matters to the appropriate management level 



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