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 coverage and day to day regulatory advice to a variety of business teams primarily in Global Markets (Macro Markets business UK, EU, trading venue, cross border etc.)
• This is a broad role which will encompass, inter alia, FX and money market products (credit, equity etc.)
• In addition, the position involves supporting the remainder of the Fixed Income trading floor (Credit, Equity Inc, Prime, Structured Products)
• Being a key stakeholder for applicable regulation
• Keeping up to date with regulatory changes affecting the business
• Analysing and assessing new regulations and briefing senior management accordingly
• Being a stakeholder in regulatory projects, tracking progress of implementation
• Participating in internal and external enquiries including ventures, products and the regulatory and commercial environment
• The provision of regular and ad hoc training to business
• The provision of management information
• Understanding and keeping up to date with the firm's business in which it operates to ensure that appropriate compliance policies, procedures and standards are implemented
• Performing regular ad-hoc monitoring and reviews
• Ensuring accurate documentation of records 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 of a trading floor, business-facing Compliance role is required
• Dodd-Frank swaps knowledge would be beneficial but not a pre-requisite
• Ability to work well under pressure and move between tasks quickly
• Strong approach to problem solving
• Willingness to work in a trading floor environment with constant interaction
• 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 reach their full professional development and enhance team productivity through their own methods
• Elevate Organizational Capability: Engage proactively in professional ways to maintain psychological safety in the workplace and cultivate a "Risk Culture"
• Inclusion: Respect DEI, foster a culture of inclusion and diversity (Challenge, Escalate and Respect).