Description
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