Compliance, Equities Compliance, ETF Accelerator, VP, London London
Job description
GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
WHO WE ARE LOOKING FOR
This is a role within the EMEA Global Banking and Markets-Public Compliance Team covering ETF Accelerator and being part of the broader Equities Sales and Trading Advisory Compliance team. The candidate will be a part of a team of 8, including their reporting manager, who reports to the EMEA Global Banking and Markets Deputy Head.
The successful candidate would drive the set-up of the ETF Accelerator business, including regulatory review and corresponding compliance program implementation and once established, provide line compliance support to the teams within the above business areas with the specific focus on ETF Accelerator business, to ensure compliance with internal policies and procedures and external regulatory requirements.
The candidate should be able to: work in a multi-dimensional business that is heavily client focused, manage time effectively to respond to real-time queries and issues, and have the ability to deliver on a diverse project workload.
HOW YOU WILL FULFILL YOUR POTENTIAL
- Provide real-time compliance advice to business personnel, with regards to the rules, regulation and internal policies that govern their businesses
- Assisting with the interpretation and implementation of new rules/regulation/guidance/policy
- Prevent, detect and mitigate compliance, regulatory and reputational risk and help to strengthen the firms culture of compliance
- Act as a Compliance representative for any business lead projects/initiatives
- Developing and updating policies and procedures when applicable
- Help develop and deliver training as part of ongoing Compliance training programs tailored to suit the requirements of our various businesses, in addition to delivering ad-hoc training as and when required
- Co-ordinate with the broader Global Markets Compliance Team on EMEA initiatives and projects
- Investigating and coordinating responses to ad-hoc regulatory enquiries
SKILLS & EXPERIENCE WE ARE LOOKING FOR
- VP level
- Degree level or equivalent (not essential if has relevant working experience)
- Experience in compliance or trading (support or otherwise)
- Advantage if has background and experience in ETFs and Funds market, both the industry and related regulatory environment
- Pro-active, self-motivated, assertive and well organized
- Able to work independently whilst remaining a strong team player
- Forward looking, focused on streamlining processes and increasing efficiency
- Adaptable with the ability to multi-task
- Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
- Effective communicator with the ability to build strong relationships with others
- Analytical, inquisitive and detail-oriented
- Keen interest in financial markets, products, and securities regulations, with a willingness to learn
