Compliance Advisory

My client is a global financial services firm.

Role Overview: My client is seeking a Markets Advisory Compliance Officer to provide second-line oversight of the Capital Markets Business activities across the group, focusing on FICC, Rates, FX, Credit, Financial Futures & Options, and Listed Derivatives.

They have a preference for FX advisory experience.

This role involves offering clear and timely regulatory advice, supporting business initiatives, promoting a compliance culture, and acting as the Compliance lead on listed derivative exchange-related enquiries.

Key Responsibilities:

• Deliver second-line oversight of Capital Markets Business activities, ensuring compliance with regulatory requirements and internal policies.
• Provide clear and timely regulatory advice to business stakeholders, supporting initiatives and fostering a compliance culture.
• Act as the Compliance lead on listed derivative exchange-related enquiries, liaising with business groups to gather relevant information and manage responses.
• Ensure timely identification of regulatory changes affecting business groups, collaborating across Support Functions and the Business to implement new regulations.
• Deliver ongoing compliance support to relevant business groups, advising on the application of global compliance policies, exchange rules, and regulations.
• Identify regulatory or reputational risks and escalate to management for resolution.
• Support compliance team members in conducting timely compliance reviews and approving new Business-specific initiatives.
• Work with Legal, Compliance colleagues, and other support function staff to address cross-jurisdictional compliance matters.
• Provide SME support to Compliance Assurance colleagues, participating in the annual Compliance Risk Assessment process and execution of assurance activities.
• Design, drive, and deliver specific desk-based thematic reviews to assess compliance effectiveness.
• Act as a challenge and control function to the Business on compliance-related matters, including the Business-owned Risk & Control Assessment.
• Participate in the development and delivery of the annual regulatory training plan for the Business, as well as ad hoc trainings.
• Provide Compliance input to control and regulatory incidents, internal audits, and reviews within the Business.

Qualifications and Skills:

• Bachelor’s degree in Finance, Business Administration, Law, or related field. Advanced degree or relevant professional certification preferred.
• 5 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
• Strong understanding of regulatory requirements and best practices related to capital markets.
• Excellent communication, interpersonal, and stakeholder management skills.
• Proven ability to identify and mitigate compliance risks effectively.
• Collaborative mindset with the ability to work across teams and functions.
• Strong organizational skills with the ability to manage multiple priorities.
• Proficiency in Microsoft Office Suite and compliance-related software applications.

Benefits:

• £100,000 – £120,000 base salary and comprehensive benefits package.
• Opportunities for professional development and career advancement.
• Hybrid working 3 days in the office
• Dynamic and inclusive work environment with a focus on collaboration and innovation.

Please contact ne@barclaysimpson.com with your CV for more information.