This is a great role for an experienced Compliance Officer to branch out from a vertical role (covering just one product line) and into a role that covers the breadth of the fixed income and equities trading businesses. You'll gain enhanced knowledge and exposure to FX, Rates, Credit, Equity Derivatives, Cash Equities, Algo & E-Trading, Structured Products, Emerging Markets etc.

The Compliance team works very closely with the trading floor, advising on matters arising on-the-fly, as well as conducting investigations into possible regulatory breaches over time. You will be encouraged to build strong working relationships with the Heads of Business to provide holistic regulatory counsel but to also maintain an independence that protects the bank’s commercial interests and integrity.

You will also work in conjunction with other departments on multiple projects such as: regulatory change and improvements; regulatory policy; participate in surveillance investigations and transaction monitoring; conduct periodic desk reviews in line with the Compliance Monitoring team, and provide the necessary training and guidance to new employees or updates to regulation across the floor.

The ideal candidate will have:

• Minimum 5 years overall banking & capital markets experience with at least 2 years of Compliance Advisory experience in the sector.
• Knowledge of key regulations such as: MAR / MAD; MiFID 2; SMCR; relevant Exchange rules and international regs such as SEC, NFA, Volcker etc.
• Knowledge of international financial markets regulation such that your decisions related to advice, guidance and policy, are considerate of the firm’s international regulatory obligations as well as the UK.
• Excellent attention to detail; a keen and attentive eye for potential regulatory risks
• Excellent diplomatic skill in delivering robust Compliance oversight that protects the bank but optimises commercial opportunities and maintains a good working relationship with the trading floor.
• A passion for learning and being tested on your product knowledge
• A collaborative approach that supports senior management and helps to improve the knowledge and skill of the team.
• A solid academic background and a history of continued professional development in either regulation or finance would be advantageous

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