Equity Derivatives Compliance Advisory

As an Equity Derivatives Compliance Advisory Officer at my Global Investment Banking client, you will play a pivotal role in ensuring that our Equities Division operates in full compliance with all regulatory requirements. You will serve as the subject matter expert (SME) for Markets & Securities Services Compliance, focusing on Equities with an emphasis on Derivatives sales/distribution and Structured Products.

This is an exciting opportunity to join a top tier investment bank working in a collaborative and well respected compliance department.

Your responsibilities will include:

Key Responsibilities:

1. Structured Products Expertise: Act as the primary point of contact for all matters related to the Structured Products Business. This involves handling daily inquiries from the sales and trading teams regarding various aspects, including restructuring of transactions, issuing platforms, and index transactions.
2. Stakeholder Engagement: Develop the ability to effectively liaise with, influence, and challenge senior stakeholders and cross-functional teams on matters concerning Derivatives and Structured Products. Your insights and recommendations will be instrumental in guiding business decisions.
3. Issue Resolution: Conduct in-depth investigations into specific issues, incidents, or regulatory concerns. You should have a clear understanding of when and how to escalate these issues and provide recommendations to mitigate associated risks effectively.
4. Regulatory Guidance: Provide the business with clear, well-informed challenge, analysis, decisions, and guidance in the context of regulatory rules and regulatory changes. Your expertise will be instrumental in ensuring that our business proposals, transactions, and plans align with regulatory compliance.

Qualifications:

• Bachelor’s degree in a related field; advanced degrees and relevant certifications (e.g., CAMS, CFA, or JD) are preferred.
• Experience in Compliance or a related field, with a strong focus on Equities, Derivatives, and Structured Products.
• Comprehensive knowledge of regulatory frameworks and compliance requirements related to Equities and Derivatives.
• Excellent communication and interpersonal skills, with the ability to effectively engage and influence senior stakeholders.
• Strong analytical and problem-solving capabilities, with a keen attention to detail.
• Proven ability to work in a fast-paced, dynamic environment and manage multiple tasks concurrently.
• High ethical standards and a commitment to upholding regulatory compliance.

Hybrid working is available.

London office base.

Salary on offer is £90,000 – £110,000 on the base.

Please contact me for more information ne@barclaysimpson.com