Role details

Cash Equities Compliance Advisory Director

London   •   £100,000 - £150,000   •  Permanent

Bullet points

  • Investment Bank
  • London

About Our Client

A top tier leading Investment Bank

Job Description

* Providing advice to Cash staff regarding applicable laws, rules, regulations and policies and procedures on a timely basis.
* Reviewing and providing advice to Cash staff on transactions and products.
* Advising the business on the establishment, improvement and documentation of their controls.
* Escalating transactions and issues to line manager where appropriate.

Policies and Procedures
* Drafting and reviewing policies and procedures resulting from regulatory developments.
* Identifying weaknesses and risks and developing new policies and procedures resulting from developments in Cash.
* Ensuring all relevant compliance guidance or policies are kept up to date and in line with business and regulatory developments.

* Evaluate training needs and draft appropriate training in conjunction with the Training Department.
* Conduct training as agreed by line manager.
* Undertaking Compliance Briefings for new members of Cash staff in a timely fashion in line with Key Ops.

Regulatory Developments
* Keeping abreast of all regulatory developments effecting Cash
* Keeping Cash appraised of likely regulatory developments which could impact their activities as directed by line manager.
* Responding to Regulatory consultations as agreed with line manager.
* Representing Markets Compliance at relevant industry associations as agreed with line manager.
* Working with Cash to implement new regulations when required.

Regulatory Inspections, Investigations and Enquires
* Manage regulatory inspections and investigations as determined by line manager.
* Respond to regulatory enquiries or request for information as determined by line manager.

Internal Reviews and Investigations
* Conduct internal reviews and assessments of the business as directed by line manager.
* Conduct or participate in internal or disciplinary investigations as directed by line manger.
* Review and assist with the remediation of issues identified by Compliance Monitoring or Internal Audit.

The Successful Applicant

  • Ideally an existing Compliance professional or equivalent qualified professional with a background in trading markets and/or derivatives/structured products, prime brokerage and/or related regulatory issues
    * Understanding of securities, corporate and contract law with an up-to-date knowledge of the rules of at least one of the main lead regulators (e.g. FCA, PRA, BaFin or SEC).
    * In depth operational knowledge (trading through to trade confirmation) of relevant products (equities, structured transactions, equity derivatives).
    * Ability to interpret, understand and advise an appropriate course of action on a broad range of legal and regulatory provisions.
    * A clear understanding of the compliance and legal issues impacting major investment banks.
    * Ability to analyse compliance risk and where necessary escalate matters to the appropriate management level.
    * Excellent developed verbal and written communication skills.
    * Ability to handle and manage a number of different projects simultaneously.
    * Ability to interact with and command respect from persons both inside and outside of the organisation.
    * An ability to work with compliance colleagues in other locations.
    * High energy and enthusiasm levels. Hardworking, with the ability to focus on and resolve the "right" issues in a timely fashion.

What's on Offer

circa£150000 dependant on experience plus highly competitivebonus and benefits

Apply for this job

Click the Apply or LinkedIn button below or contact Sumrana Saleem on +44 207 645 1469 quoting job reference 13362688
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