Compliance, Equities Compliance, Futures, Prime Brokerage & Synthetic Trading Analyst/Associate, London London, England
Job description
Who we are
Global Compliance manages the firm’s compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. The division monitors trends and changes in regulations in all jurisdictions in which the firm does business and develops and implements firmwide and divisional policies and procedures. In addition to advising the firm’s businesses, Global Compliance is responsible for managing audits and inquiries, Compliance learning, surveillance and testing the firm’s risk management infrastructure.
Our commitment to Diversity & Inclusion
Our people are our greatest asset – we say it often and with good reason. It is only with the determination and dedication of our people that we can serve our clients, generate long-term value for our shareholders and contribute to the broader public. At the crux of our efforts is a focus on cultivating and sustaining a diverse work environment and workforce, which is critical to meeting the unique needs of our diverse client base and the communities in which we operate. We are committed to making progress toward racial equity, advancing gender equality, and increasing representation at every level of our firm.
Job Summary & Responsibilities
Business Unit Overview
We are recruiting for an Executive Director level position to join the Prime Services team within Global Markets Compliance, providing first line compliance support and advice to the Futures, Prime Brokerage and Synthetic Trading businesses. The candidate should be able to work in a multi-dimensional business environment that is heavily client focused, and organize their time to deal with real-time issues as well as delivering on a diverse project workload.
Responsibilities
- Provide real-time compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses
- Compliance representative for business lead projects/initiatives
- Developing and updating policies & procedures applicable to the Futures, Prime Brokerage and Synthetic trading businesses
- Develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required
- Partner with Federation Compliance and other support functions in resolving queries
- Co-ordinate with the broader Global Markets Compliance Team on EMEA initiatives and projects as a representative for Equities Compliance
- Assist with the annual Prime Services Compliance Risk Assessment
- Partner with SMS and FCC surveillance in resolving surveillance alerts identified systematically or via desk escalation
- Assessing the impact of new financial regulations, setting internal Compliance policies and providing appropriate guidance
- Assess and provide guidance on new Exchange rules and coordinating responses to exchanges/regulators.
- Review and provide Compliance sign off for electronic trading controls relating to the Futures and Synthetic Trading businesses.
Other Requirements
- Associate/Analyst level
- Degree level or equivalent (not essential if relevant working experience)
- Good understanding of capital markets, with Equities / listed derivatives knowledge an advantage
- Experience of performing a Compliance advisory role in a global investment bank and understanding of applicable regulations and rules (MiFID, MAR/MAD, COBS, Exchange Rules)
- Pro-active, self-motivated, assertive and well organized
- Ability to work independently, be a strong team player and manage relationships/stakeholders at all levels.
- Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
