- £100,000 - £115,000
- Londres, Angleterre, Royaume-Uni
- CDI, Plein-temps
- Barclay Simpson
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.