Current Opportunities

Vice President, Regulation, Compliance and Anti-Financial Crime

Compliance Advisory Manager

Full Time

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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