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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

London

£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.
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