Accessibility Links

Equities Compliance Officer

  • Location: LONDON
  • Salary: £100,000 - £115,000
  • Job type: Permanent
  • Job reference: NE167735
  • Sector: Banking
Job Description

Equities Compliance

My client is an Investment Bank based in London. They are looking for a VP level Equities compliance advisory officer to join their team.

Equities Compliance Officer


£100,000 - £115,000 plus bonus + package

You will be supporting a cash equities business with compliance advisory support in a business unit aligned compliance team.

You must have experience of...

  • MIFID implementation.
  • Interactions with exchanges and trading venues.
  • Risk and control reviews and associated remediation.
  • Dealing with the trading floor.
  • Equities compliance exposure.

Key responsibilities include...

  • Maintaining an effective compliance environment.
  • Escalating risks.
  • Creating MI.
  • Providing transactional and regulatory advise to various stakeholders.
  • Designing appropriate controls relative to regulatory risks.
  • Assisting the control room regarding conflicts of interest and insider dealing controls.
  • Reviewing equity compliance policy.
Similar jobs
Compliance Officer
  • Location London
  • Salary £45,000 - £65,000
  • Job type Permanent
  • Sector Banking
  • Description My client is a leading international bank. They are currently looking for a First Line Compliance Officer to lead the First Line of Defence's Compliance and Supervision Program
Compliance Manager
  • Location City of London
  • Salary £70,000
  • Job type Permanent
  • Sector Banking
  • Description My client is a retail banking & payments focused financial institution. They are looking for a compliance generalist to join the team who has PSD2 experience.
Interim Compliance Policy Advisor
  • Location London
  • Salary c. £650-700p/day
  • Job type Contract/Temp
  • Sector Banking , Interim
  • Description Our client is a dynamic, entrepreneurial capital markets business, looking for a senior regulatory policy consultant to provide support and advice with respect of regulatory requirements and
Compliance Advisory
  • Location London
  • Salary £80,000 - £120,000
  • Job type Permanent
  • Sector Banking
  • Description Investment Banking wholesale compliance advisory at VP level.
Related news