OUR IMPACT
Global Compliance manages the firm’s compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. We monitor trends and changes in regulations in all jurisdictions in which the firm does business, and we develop and implement firmwide policies and procedures. In addition to advising the firm’s businesses, Global Compliance is responsible for managing audits and inquiries, educating our people on our policies and procedures, surveillance and testing the firm’s risk management infrastructure.
JOB SUMMARY & RESPONSIBILITIES
We are recruiting for an (up to) Associate position to join the Derivatives team within Equities Compliance, providing first‑line compliance support and advice to Sales, Trading, Structuring and Strats within the Equity Derivatives businesses, which include Flow and Strategic Equity Derivatives, Structured Products and Systematic Trading Strategies. The candidate should be able to work in a multi‑dimensional business environment that is heavily client focused and organise their time to deal with real‑time issues, as well as delivering on a diverse project workload.
RESPONSIBILITIES
* Assist in the provision of real‑time compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses
* Compliance representative or support for business‑led projects/initiatives
* Developing and updating policies & procedures to applicable businesses
* Develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad‑hoc training as and when required
* Partner with other central Compliance teams and other support functions in resolving queries
* Co‑ordinate with the broader Global Compliance Team on EMEA and Global initiatives and projects as a representative for Equities Compliance
* Assist with the annual Compliance Risk Assessment
* Partner with Surveillance and Financial Crime Compliance in resolving surveillance alerts identified systematically or via desk escalation
* Assessing the impact of new financial regulations, setting internal Compliance policies and providing appropriate guidance
* Coordinate and review responses to exchanges/regulators
* Review and assist with Compliance sign off for electronic trading activities relating to our various businesses
* Review and assist with providing Compliance sign‑off for new index approval requests, systematic trading strategies and their associated marketing materials
OTHER REQUIREMENTS
* Degree level or equivalent (not essential if relevant working experience)
* Experience within Compliance, including Equities or Equities Derivatives Compliance an advantage
* Good understanding of capital markets, with benchmarks / derivatives / structured products / retail distribution knowledge an advantage, but not required
* Experience of performing a Compliance advisory role in a global investment bank and understanding of applicable regulations and rules (MiFID, MAR/MAD, COBS, exchange rules) an advantage, but not required
* Understanding of FCA Consumer Duty an advantage, but not required
* Pro‑active, self‑motivated, enthusiastic, well organised and keen to learn
* Ability to work independently, be a strong team player and manage relationships/stakeholders at all levels
* Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.
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