Cash Equities Compliance Officer

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Citigroup Global Markets
  • 30 Aug 16

To provide compliance advisory support to the EMEA Cash Equities business, located on the trading floor.

Job Purpose:

To provide compliance advisory support to the EMEA Cash Equities business, located on the trading floor.

Job Background/Context:

The jobholder will work as part of a four person team covering the Cash Equities businesses which is part of the EMEA Equities Compliance team. The nature of the role means that a presence on the trading floor is required before the market opens.

Key Responsibilities:

Reporting to the head of Cash Equity Sales and Trading Compliance, the position will involve

* Responsibilities for advice on the various EMEA Equities exchange and MTF regulations where Citi is a member.
* Providing advice and assistance in resolving the compliance and regulatory issues arising from sales and trading activities. Although these will be primarily Cash Equities related, it is expected that the individual will assist wider Equities work where necessary.
* The job holder will need to make transaction-based decisions and exercise judgment on issues requiring further investigation or escalation.
* Ability to resolve trading issues to the satisfaction of both the business and in compliance with regulatory obligations.
* Completion of business reviews, supporting the Equities monitoring and surveillance function and providing compliance support on business projects.
* Work closely with central compliance functions such as the Control Group, teams handling regulatory requests, registrations, surveillance and position monitoring.
* Provision and organisation of compliance training for relevant Sales and Trading functions.
* Ability to quickly pick up relevant policies and procedures and apply them in order to advise the business. The job holder will need to able to prepare guidance for the business areas where policies either do not exist or do not cover specific circumstances.
* The applicant should be prepared to cover not only the relevant trading hours but, where necessary, work extended hours and work well within a team.

Development Value:

* There is the potential for the jobholder to become a subject matter expert and be recognised as a point person for guidance and training across a variety of businesses
* Huge scope for self-advancement and development of specific interests. The issues that arise are extremely varied and always challenging. There are opportunities to get involved in initiatives within the wider Equities team or in the Compliance function as a whole.

Manager's Expectations of job-holder:

We are looking for a replacement who can step into the role with some experience but more importantly, the right attitude towards their work and the work of the team. To complement the team, we need someone who is organised in their own work and has the personality and the ability to organise others around them to quickly become a focal point for the team.


* Knowledge of European exchange and MTF rules and regulations
* Knowledge of MiFID pre and post trade requirements
* An understanding of Equities trading and trading flows
* Knowledge of relevant FCA rules and Market Abuse directive
* Experience of Equities business


* Strong organisational skills
* Ability to communicate with the upper levels of the organisation
* The candidate must be able to provide high calibre advice in a clear and concise manner, which is consistent and appropriate to the audience.
* Teamwork is critical to the group and any candidate will need to display strong skills in this area, whether it is sharing issues and knowledge or covering for others where necessary


Degree educated or equivalent preferred


Sound judgement and ability to work under pressure

Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience.

Valuing Diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success.

Citi is an Equal Opportunities Employer