Job Summary & Responsibilities Business Unit Overview
This is a role within the European Securities Division Compliance Team with a primary focus the Institutional Equity Sales and Trading businesses, reporting to the Head of Institutional Equity Compliance.
The successful candidate would provide support to the various areas within the Cash Equity sphere which includes Sales and Sales Trading and Trading for the Pan European Shares, Program Trading, Direct Market Access and the Volatility Trading desks.
The candidate should be able to work in a multi dimensional business that is heavily client focused, and organize their time to deal with real-rime issues as well as delivering on a diverse project workload.
Provide 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 for business lead projects/initiatives
Developing and updating policies & procedures applicable to the Cash Equity businesses
Help 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
Co-ordinate with the broader Securities Division Compliance Team on EMEA initiatives and projects as a representative for Equities Compliance
Assisting with the interpretation and implementation of new rules/regulation
Coordinating responses to ad-hoc regulatory enquiries
Degree level or equivalent (not essential if has relevant working experience)
2 to 3 years' experience working in a compliance function preferably within the Equities advisory space
Pro-active, self-motivated, assertive and well organised
Ability to work independently and yet remain a strong team player
Forward looking, focused on streamlining processes and increasing efficiency
Flexible and ability to multi-task
Proactive approach to problem solving
Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
Interest in the financial markets and a willingness to learn
Personable, level headed and able work in harmony with others