Markets Compliance Officer

4 weeks ago

London, United Kingdom LevelUP HCS Full time

Our client in the Investment Banking space is on the lookout for a qualified Markets Compliance Officer to join their thriving team.

Key Responsibilities

The key responsibilities are:

  • Providing advice to front office personnel on Fixed Income sales & trading issues.
  • Building and maintaining strong working relationships with Business Management, Front Office desks, Operations, etc. and with colleagues within Compliance.
  • Working collaboratively with colleagues for the implementation of new and ongoing regulatory changes.
  • Assisting in maintenance of regulatory and exchange relationships, including dealing with exchange queries, investigations and audits as well as formal regulatory enquiries from national regulators such as the FCA.
  • Providing training to front office personnel on general regulatory matters such as New Joiner Compliance Inductions, codes of market conduct, sales/trading market practices as well as on other ad hoc regulatory matters.
  • Monitoring of Sales Trading Workflow, Market Making Obligations, Primary Dealer Auction activity and Disclosures for Position Limits and Short Selling Restrictions.
  • Providing compliance support for monitoring of Extended Settlements, As-of late trade bookings, Fails, Buy-in notifications and process, mandatory buy-ins and other settlement issues.
  • Assisting with the creation and presentation of Compliance MI to the Heads of the business and the COOs.
  • Backing up Trading Floor Compliance colleagues in other business areas.
  • Liaising closely with global markets compliance colleagues in the US, Asia and European Branches
  • Ad hoc compliance tasks and projects that will arise from time to time.

Person Specification

The following skills and experience are required for this role:

  • The candidate should have markets experience or exposure working within settlements, middle office or trading floor support roles.
  • The candidate should have strong interpersonal and communication skills.
  • The candidate should have strong time management and organisational skills and the ability to meet deadlines and work under pressure.

This role will suit an ambitious, career-minded individual who wants to work in a dynamic environment.

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