The Compliance Department deals with a wide range of products, markets, jurisdictions and regulatory issues on a day to day basis.
Provide advice, guidance and support to the Fixed income & Cash Equities business in complying with prevailing regulations and managing regulatory risk, global compliance standards and internal compliance policies and procedures.
To monitor changing regulatory standard and business initiatives to ensure the effectiveness of the control framework.
Provide advice on the implementation of new control frameworks and the enhancement of existing controls. Preferred Qualifications and Experience
Degree qualified/ professional qualification.
Prior of working in a compliance advisory capacity within a Equities & Fixed Income Sales and Trading environment sales and trading environment.
Experience of interaction with regulators, exchanges and industry bodies. Knowledge, technical skills and expertise
Solid understanding of products and markets including gov bonds, rates, credit, convertible bonds, cash.
Understanding of relevant FCA rules, including the Market Abuse regime and recent UK and EU regulatory developments (e.g. MiFID II, EBR, MAR etc.).
Ability to analyse and interpret regulations and knowledge of upcoming regulatory developments impacting the commodities sector.
Ability to identify and manage the regulatory risks associated with specific transactions and the business as a whole.
An understanding of IT systems (e.g. electronic trading systems, BO systems) and processes employed in a front to back-office environment.
Strong communicator at all levels (internal and external)
Sustained commitment to engagement and ownership
Ability to deliver work under pressure
High level of integrity
Ability to work independently
Ability to navigate complexity and ambiguity
Flexible, adaptable, pro-active. The role would suit someone who has:
Strong stakeholder management skills
Presentation, communication and consultation skills