Market Compliance Expert for Rates Business

7 days ago

London, Greater London, United Kingdom Goldman Sachs Full time

**Job Summary**

We are seeking a highly skilled Market Compliance Expert to join our FICC Compliance Team in London. This role will provide compliance coverage for our market leading Rates business and involve heading our Compliance coverage for the EMEA Rates business.

**Key Responsibilities**

  1. Provide real-time compliance counsel to the Rates business units on relevant rules, regulations and internal policies.
  2. Offer proactive risk mitigation instructions on regulatory and policy matters including individual transactions, new products and business initiatives.
  3. Assist with the interpretation and implementation of new rules/regulation.
  4. Develop and deliver both ad-hoc and annual face-to-face training.
  5. Develop and deploy second line controls and assist the first line with the development of their controls.
  6. Review new algorithms and other electronic related business initiatives.
  7. Coordinate with the broader FICC & Equities Compliance Team as well as Federation and Financial Crime Compliance on initiatives and projects.
  8. Participate in compliance regulatory and internal investigations and audits.
  9. Liaise with local regulators and Exchange/MTF operators and coordinate responses to ad-hoc regulatory enquiries.
  10. Lead and/or execute the Compliance Risk Assessment for the Rates businesses.

**Requirements**

  • Vice President level
  • Minimum 5 years Markets Compliance experience gained by working on a trading floor for a Tier 1 house or others with sophisticated algorithmic/electronic business units and/or complex financing capabilities
  • Degree level or equivalent (not essential if has relevant working experience)
  • Professional qualifications such as CA, CFA, Solicitor or Bar exams an advantage
  • Excellent practical understanding of FICC asset classes (both Cash and Derivatives), and Rates in particular
  • Pro-active, self-motivated, assertive and well organized
  • Ability to work independently and yet remain a strong team player
  • Forward looking, focused on improving and streamlining controls and processes
  • Ability to handle multiple tasks simultaneously and work to tight deadlines
  • Excellent communication skills both written and oral
  • Languages an advantage (particularly French and/or German)
  • Ability to code or understand code would be an advantage
  • Previous experience of trading FICC products would be an advantage
  • Proactive approach to problem solving
  • Deep interest in the financial markets and a willingness to continually learn
  • Excellent understanding of EU and US regulations (MIFID II, MAR, Benchmarks, REMIT, FX Global Code, LBMA Precious Metals Code, EMIR, CFTC, SEC...)
  • Ability to enrich and thrive in an international and diverse, inclusive environment

**Salary Range:** £150,000 - £200,000 per annum (dependent on experience)

  • Regulatory Compliance Expert

    7 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job SummaryWe are seeking an experienced Regulatory Compliance Expert to join our team at Compliance Professionals. This role will involve ensuring adherence to statutory and regulatory provisions, monitoring regulatory developments, and maintaining the Compliance Monitoring Programme.Key ResponsibilitiesEnsure compliance with FCA, LME, LME Clear, NFA, and...

  • Interest Rates Market Expert

    7 days ago

    London, Greater London, United Kingdom Eton Clarke Full time

    Interest Rates Market Expert WantedEton Clarke is looking for an experienced Interest Rates Market Expert to join our team in London. The successful candidate will have a strong background in interest rates analysis and will be able to provide expert advice to our clients.The role involves working closely with the trading and sales desk to understand the...

  • Compliance Risk Management Expert

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    We are seeking a seasoned Compliance Risk Management Expert to lead our global compliance efforts. Based in the City, our client is a world-leading specialist broker with a reputation for excellence.Job OverviewThe successful candidate will be responsible for managing global regulatory relationships, providing advisory coverage to all business desks...

  • Compliance Advisory Expert

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:Compliance Professionals seek a skilled Compliance Advisory Expert to join their team. The successful candidate will provide expert advice and guidance on financial crime matters, ensuring the company remains compliant with regulatory requirements. This is an excellent opportunity to work with a reputable company and advance your career in...

  • Senior Compliance Expert for Financial Markets

    2 weeks ago

    London, Greater London, United Kingdom Jacobson Garner Full time

    About Jacobson GarnerWe are a leading corporate brokerage and market-making firm based in London.Job Title: Senior Compliance Expert for Financial MarketsSalary: £120,000 - £150,000 per annumWe are seeking a highly experienced Senior Compliance Expert to provide expert compliance guidance across diverse markets, including FX, Credit, Rates, Equities, and...

  • Compliance Expert

    7 days ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a Compliance Expert to support AJ FOX COMPLIANCE in ensuring the highest standards of regulatory compliance across our operations.The ideal candidate will have strong knowledge of CQS, Lexcel, and SRA Regulations, with proven experience in compliance within the legal sector.Provide guidance to clients on acquiring and maintaining Legal Aid...

  • Compliance Expert

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About Compliance ProfessionalsWe are a leading global commodities organization with a wide range of services to our clients. Our team is committed to delivering exceptional results, and we're looking for a talented individual to join us as a Compliance Expert.Job DescriptionThe position will assist with managing a small team and working 4 days in the office....

  • Compliance Operations Manager

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description: Compliance ManagerCompany Overview: Compliance Professionals is an international market maker specialising in FX and commodities that provides liquidity across various exchanges and trading platforms.Job Summary: We are looking for a Compliance Manager to play a crucial role in ensuring adherence to regulatory requirements and providing...

  • Market Specialist

    1 month ago

    London, Greater London, United Kingdom Bloomberg L.P. Full time

    Market Specialist - Rates Derivatives Expert in London, United KingdomThe Market Specialist team at Bloomberg serves as the financial markets and workflow experts. As a Market Specialist, you will collaborate with senior decision makers at client accounts, helping to close new sale opportunities, and providing critical feedback to shape the development of...

  • Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Regulatory ComplianceWe are seeking an experienced Compliance Officer to join our team at Compliance Professionals. The ideal candidate will have a strong background in regulatory compliance and experience in managing a small team.Key Responsibilities:Monitor and review all relevant statutory and regulatory provisions, including...

  • Compliance Expert Professional

    1 week ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job SummaryWe are seeking a highly skilled and experienced Senior Compliance Monitoring Specialist to join our team at Compliance Recruitment Solutions. The ideal candidate will have a strong background in compliance monitoring, with a minimum of 2 years' experience in a Wealth Management or Retail Financial Advice firm.About the RoleThe Senior Compliance...

  • Compliance Expert

    3 weeks ago

    London, Greater London, United Kingdom Macquarie Group Full time

    We are seeking a highly skilled Compliance Expert to join our team within the Risk Management Group. This is an exciting opportunity to leverage your expertise in compliance and regulations to support our Commodities and Global Markets businesses.

  • Financial Markets Compliance Specialist

    7 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    **About Compliance Professionals**We are a reputable brokerage firm based in the City, seeking a highly skilled Financial Markets Compliance Specialist to join our team on an FTC basis.**Estimated Salary:** £60,000 - £80,000 per annum, depending on experience**Job Description:**Key ResponsibilitiesMonitor and address market surveillance alerts and...

  • Compliance Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:Compliance Professionals seeks a skilled Compliance Officer - Financial Markets to join our team. The ideal candidate will have experience in a trade monitoring/trade surveillance function in a trading, brokerage, gambling or banking environment.Key Responsibilities:Develop and implement daily alert review and escalation processes for MAR...

  • Compliance Officer

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is looking for a highly motivated Market Surveillance Officer to assist us in maintaining a fair and transparent financial market.Job Description:Assisting with the annual market abuse risk assessment.Reviewing and reporting on market surveillance alerts and electronic communications to identify suspicious behaviour.You will work...

  • Market Data Business Analyst

    3 weeks ago

    London, Greater London, United Kingdom Lorien Full time

    Market Data Business Analyst - Compliance ExpertThis role involves maximizing the value of supplier relationships and driving cost efficiencies in collaboration with key stakeholders. Key responsibilities include managing data licensing to ensure compliance while maximizing cost reduction opportunities from the evaluation of alternate providers. Deliver...

  • Compliance Marketing Expert

    7 days ago

    London, Greater London, United Kingdom JLP Insights & Media website Full time

    At JLP Insights & Media, we're looking for a Compliance Marketing Expert to play a key role in our marketing team.This is a permanent position with a 30 hour contract, split between working from home and our London Head Office.You will be an accountable compliance SME for Financial promotions, working directly with Marketing 3rd Party Providers to ensure...

  • Compliance Expert: Shaping Global Risk Management

    2 weeks ago

    London, Greater London, United Kingdom Compliance Wise Full time

    We are seeking an experienced Compliance professional to lead our global Compliance function at Compliance Wise, a leading international law and professional services firm. This is an exciting opportunity for an accomplished compliance expert with a background in the legal and/or professional services sector to shape our risk management strategy and drive...

  • Compliance Expert

    7 days ago

    London, Greater London, United Kingdom SGS Société Générale de Surveillance SA Full time

    OverviewSociété Générale, a leading global banking group, seeks an experienced Compliance Expert to join its team. Based in London, this role is part of the Wholesale Market Integrity Division and reports to the UK head of the Group Compliance Prevention and Control Service Unit (CPLE).The successful candidate will work closely with business units and...

  • Compliance Director

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Director Role OverviewWe are seeking a highly skilled Compliance Director to join our team at Compliance Professionals. As a key member of our compliance team, you will be responsible for identifying and reviewing regulatory developments and changes, assessing their impact on our business and products, and implementing remedies to promote better...