Compliance Advisory
il y a 3 jours
Leading banking name seeks two compliance advisory professionals to join their markets team. One sitting on the FICC side (ideally credit/commodities but open) and one on the equities side.
Key Responsibilities:
- Provide expert compliance advice to Front Office teams engaged in Fixed Income trading and sales activities, ensuring adherence to relevant laws, regulations, and internal policies.
- Support business initiatives and strategic projects by identifying potential compliance risks and advising on mitigation strategies.
- Oversee and enhance controls for trading activities, ensuring alignment with market regulations (such as MiFID II, EMIR, and MAR).
- Collaborate with global Compliance colleagues to harmonize policies and share best practices.
- Conduct periodic reviews and assessments of trading activities and provide recommendations to enhance compliance frameworks.
- Develop and deliver training to business units on key regulatory and policy topics related to Fixed Income.
- Engage with regulators and internal audit teams, providing clear, accurate, and timely responses on matters related to Fixed Income compliance.
Requirements:
- Proven experience in a Compliance Advisory role within an investment bank or financial institution.
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