Join a dynamic team at the forefront of regulatory compliance in the financial industry. As an EMEA Disclosure of Interest - Compliance Officer, you will play a pivotal role in safeguarding the firm’s reputation and supporting our commitment to transparency. This is your opportunity to collaborate with experts, engage with regulators, and make a meaningful impact on our operations. Be part of a culture that values integrity, innovation, and professional growth. Take the next step in your career and help us shape the future of compliance.
As an EMEA Disclosure of Interest - Compliance Officer – Associate in the Compliance, Conduct and Operational Risk team, you ensure our firm’s holdings are accurately disclosed to meet EMEA regulatory requirements. You work closely with colleagues across Compliance and the business, responding to regulatory enquiries and supporting trading activities. You help us maintain transparency, manage risks, and foster a culture of compliance. Your expertise enables us to navigate complex regulations and deliver on our commitment to integrity.
Job Responsibilities:
1. Monitor and disclose positions and trades in accordance with EMEA takeover, short selling, and major shareholding regulations
2. Liaise with Compliance teams to manage trading restrictions, approvals, and potential breaches
3. Prevent breaches of ownership thresholds and ensure compliance with industry-specific notification obligations
4. Respond to queries from Compliance and the business, including position searches and disclosure advice
5. Keep abreast of regulatory changes impacting disclosure rules
6. Act as a central contact for financial regulators regarding questions and queries
7. Advise and support the off-shore Disclosure of Interest team, serving as the first point of escalation
8. Collaborate with Control Room and Line of Business Compliance to manage trading activity
9. Recommend and implement solutions to complex compliance challenges
10. Maintain accurate records and documentation of disclosures and regulatory communications
11. Contribute to team initiatives and continuous improvement efforts
Required capabilities and skills:
12. Demonstrated experience working in a financial institution, with familiarity in Disclosure of Interest functions and systems
13. Ability to work independently and take initiative with minimal supervision
14. Skilled at multi-tasking and meeting deadlines in a high-pressure environment
15. Results-oriented team player with a track record of driving tasks to completion quickly and accurately
16. Strong problem-solving skills and autonomous decision-making ability
17. Exceptional research and analytical skills, able to analyze large data sets and identify risk attributes
18. Excellent interpersonal and communication skills, both verbal and written
19. Proficient in MS Office applications, including Outlook, Word, Excel, and PowerPoint