Description
Compliance Officer
One of our Large Investment Banking Clients is looking for a Compliance Officer to join the EMEA Equities Compliance Team on their Equities trading floor.
As the Compliance Office you will be working with the Equities Compliance team and be responsible for providing Front Office Compliance Support to the EMEA Equities business, including cash equity & equity derivative sales and trading, equity financing & Prime Brokerage, structured products and funds.
Responsibilities
*Provide day-to-day Compliance coverage for the Equities businesses within the EMEA region.
*Provide advice and guidance on applicable exchange and regulatory requirements and firm policy issues and requirements.
*Participate as required in internal investigations into potential breaches of regulatory requirements or firm policy.
*Participate as required in department initiatives in respect of regulatory developments and impact analysis on the firm's business and support groups.
*Liaise and provide guidance to Legal & Compliance colleagues in EMEA and other regions in respect of EMEA Equities issues.
*Creation and maintenance of compliance polices and development and provision of appropriate compliance training.
*Assist with the maintenance of the compliance rules inventory, risk assessment process and monitoring and testing within the EMEA Equities business.
Essential Requirements
Front Office Compliance Experience
Experience of Equities essential
Experience of regulation and compliance within the UK and European markets
Trading floor compliance experience.
Creating and maintaining compliance polices
Providing advice and guidance on applicable exchange and regulatory requirements
The ability to work in a pressurised environment, with constantly changing priorities and tight deadlines is required, as are strong inter-personal and communication skills and the ability to interact with staff from different areas at all levels of seniority.
If you have the above experience for the Compliance Officer please apply.
hy-phen Limited is acting as an Employment Business in relation to this vacancy. The Adecco Group UK & Ireland is an Equal Opportunities Employer.