Job Description
The Senior Advisory Compliance Officer will have responsibility for
Compliance activities relating to the FICC markets businesses focusing on our
Fixed Income (Bonds and Derivatives) and FX desks and is therefore
expected to be a product specialist. The role has two direct reports who will
help with the coverage, get involved in specific initiatives and will also support
the rest of the team.
Quickly build an understanding of the business lines, including booking
models, products, transaction types and nature of business, covering and
providing advice to multiple trading and sales desks.
Provide guidance to more junior members of the team and act as team
lead for the public side business coverage.
Build and maintain relationships with the business and supervisors, as well
as support and control functions. Be able to manage those relationships in
a professional manner to maintain Compliance independence.
Assess new business proposals versus pertinent laws and regulatory
requirements including coordinating with global Advisory Compliance
teams where required.
Advise the business and other internal stakeholders regarding
interpretation and implementation of new regulatory
developments/requirements.
Internal
Provide real-time advice to the business regarding proposed transactions
in a timely manner.
Assist internal stakeholders where required with product and/or market
expertise, such as Trade Surveillance, Risk, Internal Audit, Operational
Risk, Operations.
Create and deliver training to the business and other functions as
required, covering topics such as market abuse, trading venue rules and
other topics pertinent to specific business lines.
Creation and review of Advisory Compliance policies and procedures.
Review escalations of potential market abuse from internal trade
surveillance partners, the business and others. Provide analysis and
reasoning to senior management as required to assist in escalation
decision making, including preparation for potential STOR submissions.
Assist with responding to any relevant regulatory requests.