Compliance Director - Equity E-Trading

Top investment bank seeks a Compliance Director to cover Equity E-Trading.

The Firm:

One of the top investment banks in London seeks a Director to join their Compliance team and provide regulatory advice and guidance to the Cash Equities & Electronic Trading desk.

The Role:

The E-trading business is rapidly expanding and is generally seen as the way forward for equities trading as a whole. As a result, this role will expose you to a trade floor that utilises cutting edge technology, advanced algorithmics and quantitative strategies that give the bank a leading position in the global equity markets.

As a Director you will be involved in and advising on all issues that could be viewed as a potential risk to the bank. This will involve implementing risk management programs in relation to the EMEA Equities Business. You will be expected to develop the programs and assist in any relevant policy and framework development, where required. You will need to challenge and clarify on the banks regulatory obligations.

This role will place you at the centre of risk mitigation for the Equities business, interaction with the business based in multiple locations and regulatory visits and reviews. You will be the point of contact for escalated issued brought to light by the surveillance and monitoring officers. You will be responsible for the continued development of the Equities compliance program globally working in conjunction with colleagues across EMEA, Asia/PAC and North America.

The Candidate:

  • Excellent project management skills with the ability to dive in, contribute, and then dive out of a project. You will be involved in a huge range of projects running concurrently.
  • Advanced PowerPoint and Excel skills and a willingness to present and train groups of people within the bank.
  • At least 7 years in Compliance or within Regulatory/ Risk Consulting, Audit or Legal Services industry experience.
  • University degree preferably within Accounting / Finance, Economics or related discipline.
  • A proven ability to multitask and solve analytical problems as they arrive.
  • Knowledge of the FCA handbook and US rulings particularly Dodd Frank and Volcker



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