Compliance Advisory

il y a 3 jours


Greater Paris Metropolitan Region, France Black Swan Group Temps plein

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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