A superb opportunity has arisen at this major investment banking house. The responsibilities of the role are two-fold - compliance oversight on behalf of senior management and advisory to the Equities business.
The advisory aspects extend to UK and international coverage, together with the targeting of regulatory risk areas. Advising on European exchange rules and regulations and the provision of training therein, the successful candidate shall actively participate in new product developments. Other aspects of Advisory shall involve the review and monitoring of MiFID practices, with involvement in Investigations and participation in Presentations.
This is a key role as the successful incumbent shall be the point of contact in the remedial action of any important issues, providing continuous management information to the overall head of Equities compliance. The role requires translation of central policy with accountability for the monitoring of compliance procedures. A role where one will lead in strategic and policy issues, working with business management. A variety of interesting project work shall be involved, including global implementation of product processes & technology solutions; and, prioritising and delivering risk and compliance system needs for Equities. Considered candidates can emanate from a legal, audit, risk management or regulatory background. Significant experience in equity products essential - ideally from a trading floor background.
