Senior Equities Compliance Officer

Bank

London

Permanent ⁄ £95000 - £140000

Updated May 2, 2012

The Team is recruiting for a high calibre experienced VP-level individual to provide senior advisory support and relationship management within the Equities businesses; including cash equities, vanilla and exotic equity derivatives, ECM Syndicate, prime brokerage, portfolio trading, proprietary trading and convertible bonds. These are among the leading capital markets businesses in Europe, managing the client's EMEA equity-related activities and and providing capital raising services in the primary and secondary markets for corporate and institutional clients. The successful candidate should have an in-depth understanding of the equity markets markets and ideally significant cash equities exposure. The role will report to the Head of EMEA Equity Compliance.

This is an advisory role covering equity market activities in various forms across all developed and emerging market EMEA jurisdictions. As such, the work is varied and time critical, requiring a good understanding of market structures, products, new issuance processes, prospectus requirements, market abuse regulation and stabilisation.

The role will require close liaison with the Legal Teams covering these businesses to identify and manage the regulatory risks associated with specific transactions and the businesses as a whole. A detailed working knowledge of the FSA COB rules, UK Market Abuse Code and recent UK and EU regulatory developments, such as MiFID II, is a pre-requisite.

Who we're looking for
The successful candidate will be expected to manage relationships with the businesses at all levels, including the regional heads. They must be able to think of their feet, often providing 'live' regulatory interpretations and decisions to the business in high profile and/or time constrained situations.

Candidates must be good team players and will be expected to provide back-up support to the equity businesses generally and potentially also provide input to new product proposals, business re-organisations, other ad hoc projects, etc. e.g. review of specific initiatives/transactions/structures to identify regulatory issues, as well as term sheets, financial promotions, etc.

The successful candidate is likely to have at least 5 years trading floor compliance exposure gained within a similar Compliance environment and preferably having significant exposure to equity markets.

Based on the trading floor, candidates should possess excellent client handling skills, a self-confident and proactive approach to their work and a desire to work at the forefront of an equity business widely recognised as one of the leading players in this market.

About our client
Leading global investment bank with one of the largest client bases in the world. Excellent opportunity for a competent equities compliance senior

What's on offer
Competitive package on offer!

Michael Page Contact
For further info, apply or phone on 0207 645 1419. Job Ref: 13221959
Your application will be sent to Sumrana Saleem.

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