Compliance Officer

Job type:
Start date:
6 months
Huxley Banking & Financial Services
Published at:
flag_no United Kingdom
Project ID:

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Compliance Officer

One of the world's Leading Investment Banks are hiring for a Compliance Officer with strong reporting experience.

The successful candidate will have worked at another Banking organisation in a similar function with previous experience of regulatory large shareholder reporting and regulatory short position reporting.

Key responsibilities:

  • The Equity Aggregation team is responsible for the correct and timely filing of regulatory large shareholder, Takeover Panel and short position filings required by the firm globally
  • Takeover Panel reporting in relevant European jurisdictions
  • Regulatory large shareholder reporting in European, Middle Eastern, and African jurisdictions
  • Regulatory short position reporting in EU member states
  • Disclosure of interest as required on investment recommendations under MAR
  • Monitoring against regulatory hard limits in sensitive industries, and taking appropriate action to restrict trading or gain regulatory approval in relation to equity holdings as needed
  • Providing position information for relevant stakeholders (Business Selections, Legal, Research) as appropriate
  • Trade approvals for securities restricted by Equity Aggregation team or pursuant to 1% preclearance requirements of Equity Aggregation policy
  • Monitoring for regulatory changes and/or new business initiatives with an Equity Aggregation impact
  • Driving business requirement creation and documentation and participating in User Acceptance Testing to improve systems with the goal of minimizing manual processes and associated Operational Risk
  • QA/QC of team processes as necessary