Equities Compliance officer Equities Compliance officer …

Holmes Search
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
VP level salary plus package and bonus
Holmes Search
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
VP level salary plus package and bonus
Posted by:
Posted by:
Recruiter
THIS IS AN EXCELLENT OPPORTUNITY TO JOIN AN EXPANDING INVESTMENT BANK AND MOVE FROM AVP TO VP.


This is a Trading floor based Compliance role providing advice to front office sales and trading staff within the cash equities, fixed income and convertible bonds businesses, with a focus to lead the firms public side Market Abuse activities. The business currently has offices in London, Madrid, Geneva & Zurich and is expanding in Europe to include Frankfurt, Paris and Milan.

TASKS AND RESPONSIBILITIES

• Provision of accurate and timely advice to sales and trading staff covering cash equities, fixed income and convertible bonds.
• Liaising and/or assisting with matters relating to regulatory and exchange bodies i.e. FCA, LSE & Takeover Panel.
• Daily attendance of Equity and Fixed Income business morning meetings to ensure all relevant regulatory and policy standards are upheld.
• Development and execution of the firms MAR monitoring programme.
• Lead & deliver Compliance oversight of trade and transction reporting.
• Identification and tracking of regulatory changes which impact the sales and trading business.
• Lead and deliver Compliance oversight of Best Execution including the production of meaingful MI and Exection Oversight Committee papers.
• Execution of periodic desk reviews across the equity, fixed income and convertible bonds businesses.


REQUIREMENTS
1. At least three years’ experience in a Compliance role with exposure to sales and trading activity.
2. Working knowledge of MAR, COBS, SSR & DTR
3. Prior experience of MAR surveillance activity, Fidessa and Bloomberg TOMS would be beneficial.
4. Working closely with the business and being responsible to your internal and external clients.
5. Analysis of situations and exercising good judgment in structuring and organising work, setting priorities and being flexible to respond to changing demands and the company’s risk profile.
6. Self-motivated and self-aware with an apparent commitment to ongoing personal development and being a collaborative team member.

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