My client, a leading global investment bank, are recruiting for a Compliance Advisory VP in London. This will be a mix of advisory and monitoring/surveillance activities.
Executing the compliance monitoring programme and ad hoc reviews, including MiFIR transaction reporting review and testing (approx. 30%);
Other tasks (approx. 30%):
- Continued assessment of current and emerging (post-Brexit) U.K. regulation and its impact on the Firm across all current and planned capital markets activities;
- On-going development of the compliance framework, including maintaining policies and procedures in a dynamic environment;
- Provide compliance advice and support to existing fixed income / equities sales and trading businesses, and new business initiatives, covering areas such as Exchange listed trading, trade and transaction reporting;
- Develop, maintain and deliver regulatory training and materials, using a variety of formats (including face-to-face) to business and business support teams;
- Acting as the compliance lead on selected internal audits;
- Involvement in wider compliance projects and issues across the Firm;
Occasional, ad hoc tasks to support the UK Compliance team, including completion of due diligence questionnaires and client on-boarding queries.
- Monitoring and surveillance of daily / periodic e-coms, v-coms;
- Investigation and resolution of daily market abuse alerts;
- Investigation and resolution of best execution alerts;
- Investigation and preparation of Suspicious Transaction and Order Reports (STORs);