Vp / Director: Fixed Income Compliance Advisory

2 days ago

London, United Kingdom eFinancial Careers Full time

**Fixed Income Compliance Advisory - VP Level**

This is a great role for an experienced Compliance Officer to branch out from a vertical role (covering just one product line) and into a role that covers the breadth of the fixed income business: FX, Rates, Credit, Algo & E-Trading, Emerging Markets etc.

The Compliance team works very closely with the trading floor, advising on matters arising on-the-fly as well as conducting investigations into possible regulatory breaches over time. You will be encouraged to build strong working relationships with theHeads of Business to provide holistic regulatory counsel but to also maintain an independence that protects the bank’s commercial interests and integrity.

You will also work in conjunction with other departments on multiple projects such as: regulatory change and improvements; regulatory policy; participate in surveillance investigations and transaction monitoring; conduct periodic desk reviews in line withthe Compliance Assurance & Monitoring team and provide the necessary training and guidance to new employees or updates to regulation.
- Minimum of 5 years of experience in investment banking Compliance, with at least 3 years of Fixed Income Advisory experience
- Excellent knowledge of key regulations such as: MAR / MAD; MiFID 2; SMCR; relevant Exchange rules and international regulations such as SEC, NFA, Volcker etc. (You will be challenged on this daily)
- Knowledge of international investment banking regulation such that your decisions related to advice, guidance and policy are considerate of the firm’s international regulatory obligations as well as those in the UK.
- You should have experience of liaising regularly with colleagues around the globe such that you are familiar with nuanced regulatory differences in each location and be able to speak to these differences confidently.
- Excellent attention to detail; a keen and attentive eye for potential regulatory risks
- Excellent diplomatic skill in delivering robust Compliance oversight that protects the bank but optimises commercial opportunities and maintains a good working relationship with the trading floor.
- A passion for learning and being tested on your product knowledge
- A collaborative approach that supports senior management and helps to improve the knowledge and skill of the team.
- A solid academic background and a history of continued professional development in either regulation or finance would be advantageous

The role will be primarily working from the bank's offices in the City of London but flexible / hybrid working can be arranged.

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