My client is a global financial services firm. Role Overview: My client is seeking a Markets Advisory Compliance Officer to provide second-line oversight of the Capital Markets Business activities across the group, focusing on FICC, Rates, FX, Credit, Financial Futures & Options, and Listed Derivatives. They have a preference for FX advisory experience. This role involves offering clear and timely regulatory advice, supporting business initiatives, promoting a compliance culture, and acting as the Compliance lead on listed derivative exchange-related enquiries. Key Responsibilities:
* Deliver second-line oversight of Capital Markets Business activities, ensuring compliance with regulatory requirements and internal policies.
* Provide clear and timely regulatory advice to business stakeholders, supporting initiatives and fostering a compliance culture.
* Act as the Compliance lead on listed derivative exchange-related enquiries, liaising with business groups to gather relevant information and manage responses.
* Ensure timely identification of regulatory changes affecting business groups, collaborating across Support Functions and the Business to implement new regulations.
* Deliver ongoing compliance support to relevant business groups, advising on the application of global compliance policies, exchange rules, and regulations.
* Identify regulatory or reputational risks and escalate to management for resolution.
* Support compliance team members in conducting timely compliance reviews and approving new Business-specific initiatives.
* Work with Legal, Compliance colleagues, and other support function staff to address cross-jurisdictional compliance matters.
* Provide SME support to Compliance Assurance colleagues, participating in the annual Compliance Risk Assessment process and execution of assurance activities.
* Design, drive, and deliver specific desk-based thematic reviews to assess compliance effectiveness.
* Act as a challenge and control function to the Business on compliance-related matters, including the Business-owned Risk & Control Assessment.
* Participate in the development and delivery of the annual regulatory training plan for the Business, as well as ad hoc trainings.
* Provide Compliance input to control and regulatory incidents, internal audits, and reviews within the Business.
Qualifications and Skills:
* Bachelor's degree in Finance, Business Administration, Law, or related field. Advanced degree or relevant professional certification preferred.
* 5 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
* Strong understanding of regulatory requirements and best practices related to capital markets.
* Excellent communication, interpersonal, and stakeholder management skills.
* Proven ability to identify and mitigate compliance risks effectively.
* Collaborative mindset with the ability to work across teams and functions.
* Strong organizational skills with the ability to manage multiple priorities.
* Proficiency in Microsoft Office Suite and compliance-related software applications.
Benefits:
* £100,000 - £120,000 base salary and comprehensive benefits package.
* Opportunities for professional development and career advancement.
* Hybrid working 3 days in the office
* Dynamic and inclusive work environment with a focus on collaboration and innovation.
Please contact ne@barclaysimpson.com with your CV for more information.
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