Compliance Advisory VP - Capital Markets Compliance Advisory VP - Capital Markets …

Eximius Finance
in London, United Kingdom
Permanent, Full time
Last application, 01 Aug 21
£100,000 - £120,000
Eximius Finance
in London, United Kingdom
Permanent, Full time
Last application, 01 Aug 21
£100,000 - £120,000
Posted by:
Lee Barnish • Recruiter
Posted by:
Lee Barnish
Recruiter
My client, a leading global investment bank, are recruiting for a Compliance Advisory VP in London. This will be a mix of advisory and monitoring/surveillance activities.

Executing the compliance monitoring programme and ad hoc reviews, including MiFIR transaction reporting review and testing (approx. 30%);
Other tasks (approx. 30%):
 

  • Continued assessment of current and emerging (post-Brexit) U.K. regulation and its impact on the Firm across all current and planned capital markets activities;
  • On-going development of the compliance framework, including maintaining policies and procedures in a dynamic environment;
  • Provide compliance advice and support to existing fixed income / equities sales and trading businesses, and new business initiatives, covering areas such as Exchange listed trading, trade and transaction reporting;
  • Develop, maintain and deliver regulatory training and materials, using a variety of formats (including face-to-face) to business and business support teams;
  • Acting as the compliance lead on selected internal audits;
  • Involvement in wider compliance projects and issues across the Firm;

Occasional, ad hoc tasks to support the UK Compliance team, including completion of due diligence questionnaires and client on-boarding queries.

  • Monitoring and surveillance of daily / periodic e-coms, v-coms;
  • Investigation and resolution of daily market abuse alerts;
  • Investigation and resolution of best execution alerts;
  • Investigation and preparation of Suspicious Transaction and Order Reports (STORs);
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