• £100,000 - £115,000
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Barclay Simpson
  • 2018-06-12

Equities Compliance

My client is an Investment Bank based in London. They are looking for a VP level Equities compliance advisory officer to join their team.

Equities Compliance Officer


£100,000 - £115,000 plus bonus + package

You will be supporting a cash equities business with compliance advisory support in a business unit aligned compliance team.

You must have experience of...

  • MIFID implementation.
  • Interactions with exchanges and trading venues.
  • Risk and control reviews and associated remediation.
  • Dealing with the trading floor.
  • Equities compliance exposure.

Key responsibilities include...

  • Maintaining an effective compliance environment.
  • Escalating risks.
  • Creating MI.
  • Providing transactional and regulatory advise to various stakeholders.
  • Designing appropriate controls relative to regulatory risks.
  • Assisting the control room regarding conflicts of interest and insider dealing controls.
  • Reviewing equity compliance policy.


Londres, Angleterre, Royaume-Uni Londres Angleterre GB