A new role has arisen for a Markets Compliance Advisory VP with an international banking & capital markets firm. The role will focus on markets advisory across FX and Derivatives products and be based in the City of London.
My client is an international Banking and Capital Markets firm with a strong presence in Europe. Their UK offices are based in the City of London.
The Markets Compliance Advisory VP will:
- Provide real-time compliance advice across FX, Money Markets and Derivatives.
- Give advice and instruction to Front Office and Control & Support departments, across all levels, with regards to rules, regulation and internal policies.
- Compliance representative for business led projects/initiatives.
- Monitor local legal and regulatory developments, assisting with the interpretation of implementation of new rules/regulation.
- Review, assess, develop and update policies and procedures applicable to the Markets Department, MiFID product areas or wider business.
- Coordinate with the broader Compliance Department across EMEA. Liaise with compliance staff in order to obtain full integration of compliance activities.
- Investigate any identified potential or actual breach of relevant rules and regulations and assist in the reporting to Senior Management where necessary.
- Help develop and deliver training as part of the Annual Compliance Training Plan, where appropriate ensuring training is tailored to the requirements of various businesses or support functions. Providing ad-hoc training where necessary.
- Coordinate responses to ad-hoc regulatory enquires.
The successful candidate will have experience in:
- advising businesses on compliance for financial markets
- investigating potential or actual breaches of relevant laws, rules and regulations
- reporting systems and infrastructure
- transaction reporting requirements under MiFIR & EMIR
- MIFID best execution reporting requirements
- investment products
VP level salary and benefits on offer to the successful candidate, discussion upon application.