Responsibilities
:
1. Equity Derivatives and Structured Products Oversight:
2. Provide expertpliance advice on regulatory matters related to equity derivatives and structured products.
3. Develop, implement, and maintainpliance policies and procedures specific to these financial instruments.
4. Stay abreast of industry trends, regulatory changes, and market developments impacting equity derivatives and structured products.
5. Regulatory Engagement:
6. Act as the key point of contact for regulatory inquiries and examinations related to equity derivatives and structured products.
7. Collaborate with regulatory authorities to ensure adherence to local and internationalpliance standards.
8. Represent the bank in industry forums and working groups to influence regulatory developments.
9. Risk Assessment and Monitoring:
10. Conductprehensive risk assessments related to equity derivatives and structured products.
11. Implement robust monitoring programs to identify and mitigatepliance risks.
12. Work closely with other departments to ensure a proactive approach to risk management.
13. Training and Education:
14. Develop and deliver targetedpliance training programs for staff involved in equity derivatives and structured products.
15. Foster a culture ofpliance awareness throughout the organization.
16. Policy Development:
17. Collaborate with legal and business teams to create and updatepliance policies and procedures.
18. Ensure alignment with regulatory requirements and industry best practices.
Qualifications:
19. Directpliance advisory experience in the financial services industry.
20. In-depth knowledge of equity derivatives and structured productspliance requirements.
21. Strong understanding of relevant regulatory frameworks (, FCA, ESMA).
22. Proven experience in engaging with regulatory authorities and industry forums.
23. Excellent analytical and problem-solving skills.
24. Effectivemunication and interpersonal skills.
25. Bachelor's degree in finance, law, or a related field; advanced degree preferred.
Job ID Rootseqderivs