Global Markets Compliance (Vice President)

Job Details

• Job Title: Global Markets Compliance
• Corporate Title: Vice President
• Department: Compliance
• Location: London

Responsibilities

• Reporting to a senior member of GM Compliance Advisory, the position will involve:
• Providing compliance support and day-to-day regulatory advice to a variety of business teams, primarily in Global Markets (Macro Markets business in the UK and EU, trading venues, cross-border operations, etc.)
• This is a broad role that will encompass, among other things, foreign exchange and money market products (credit, equity, etc.)
• In addition, the position involves supporting the rest of the Fixed Income trading floor (Credit, Equity Inc, Prime, Structured Products)
• Serving as a key stakeholder in the relevant regulatory framework
• Staying up to date on regulatory changes that affect the business
• Analyzing and evaluating new regulations and briefing senior management accordingly
• As a stakeholder in regulatory projects, tracking the progress of implementation
• Participating in internal and external inquiries, including those related to business ventures, products, and the regulatory and commercial environment
• The provision of regular and ad hoc training to businesses
• The provision of management information
• Understanding and staying current with the firm's business operations to ensure that appropriate compliance policies, procedures, and standards are implemented
• Conducting regular ad hoc monitoring and reviews
• Ensuring accurate documentation of record-keeping and reporting results to ensure efficient and successful compliance

Requirements

• Knowledge of rules and regulations relevant to a Global Markets business (UK, EU, trading venue, cross-border, etc.)
• Experience in a trading floor or business-facing compliance role is required
• Knowledge of the Dodd-Frank Act regarding swaps would be beneficial but is not a prerequisite
• Ability to work well under pressure and switch between tasks quickly
• A strong approach to problem-solving
• Willingness to work in a trading floor environment that involves constant interaction
• A genuine interest in the financial services industry
• Methodical, with excellent attention to detail

Values and Culture

• Inspire Entrepreneurship in People: Inspire team members through effective communication of ideas and motivate them to achieve their full professional potential and enhance team productivity through their own methods
• Elevate Organizational Capability: Proactively engage in professional ways to maintain psychological safety in the workplace and foster a "risk culture"
• Inclusion: Respect DEI, foster a culture of inclusion and diversity (Challenge, Escalate, and Respect).