Description
Equity Advisory Compliance Analyst - Financial Services - Senior Managers Regime - Contract - London
A leading financial services firm are looking for a Equity Advisory Compliance Analyst, this role is to help the equity business to ensure they are complaint and support them in an advisory capacity.
Responsibilities
- As a member of the team, provide day to day compliance support to Equities businesses as a trusted partner providing best in class regulatory advice and guidance and forming part of a robust Compliance second line of defence.
- Particular focus on equity and equity derivative business in UK and Europe, including trading and distribution of equity derivatives, structured products, cash equities and ancillary products. Additional focus on administration of proprietary strategy indices and on asset management relating to index products.
- Expected to be accountable for own book of work, taking ownership of issues and responsibility for seeing matters through to delivery, with the ability to work independently or with support from team members, whilst seeking relevant input from senior partners across all relevant infrastructure and business areas to achieve innovative solutions and/or timely and high quality advice.
- The role demands a commercially aware approach while maintaining high standards of conduct and supporting the business values.
- Driving transmission of Compliance policy, procedures and practice into the business and supporting development by businesses of effective control frameworks and a strong compliance culture, particularly for administration of proprietary strategy indices and asset management.
- Executing projects, utilising analytical skills relating to the control environment to deliver results to senior Compliance and business management.
- Informing business of applicable Compliance initiatives, regulatory requirements and rule changes, consultation and implementation, taking a proactive lead in internal discussions to determine the business view and implementation. This will involve, for example, independent technical analysis of regulatory developments and impact, in collaboration with Compliance colleagues and business partners, and assisting delivery of best in class solutions.
- Assisting or leading development and delivery of bespoke Compliance training, including identifying requirements which may arise from, for example, a control gap being identified, changing regulation/exchange rules or other issues or lessons learned.
- Involvement in relevant business projects with regulatory implications, aiming to achieve forward-thinking solutions to changing regulatory requirements such as MiFID II. This will include keeping Compliance management and other stakeholders informed and partnering with other infrastructure functions such as Legal, Risk, IT and Operations.
- Real Time and responsive advice to the business and other infrastructure functions on matters arising day-to-day, for example: trading queries relating to market impact, exchange rules, trade amendments or trade reporting, potential conflicts of interest, review of marketing materials, proposed distributor relationships and proposed transactions, responding to exchange queries (such as Real Time trading behaviour or trade reporting), wall crossing requests, non-market price transactions, client complaints, representation of Equities Compliance in governance fora, preparing briefings for senior business and Compliance managers, escalating competition law concerns and potential breaches of law, regulation or internal policy.
- The role does not have any direct reports. However, as a member of a close and supportive team, the individual will be expected to develop leadership, and teamwork, including by overall day-to-day support for Equities Compliance colleagues globally.
Person Specification
- Strong stakeholder engagement, able to collaborate, advise, and confidently engage on regulatory matters with Line Management, colleagues and stakeholders.
- Experience in compliance and advisory capacity
- Understanding of the equity business
- Demonstrable experience working within or closely with a Compliance or Regulatory Function.
- Creative problem solver and excellent team worker.
- Prioritisation skills essential to meet Line Management expectations and to ensure successful delivery.
- Excellent written and verbal communication skills.
If this role is of interest and you have relevant experience, please apply and I will be in touch shortly.