Reporting to the head of Advisory Compliance this role focuses on the Fixed Income (“FI”) & Equities activities, of the business.
Investigating any identified potential or actual breach of relevant rules and regulations and assist in reporting to senior management and the regulatory authorities and in remediation solutions.
This role requires a Compliance Officer with key knowledge on markets related regulation including MiFID, EMIR and MAR
Act in role of trusted advisor for compliance matters across the relevant product areas
Assist in the design and implementation of an effective Compliance Risk Assessment program; implementation of an Annual Compliance Plan; and execution and reporting of the Compliance Monitoring program
Be a key member of team to progress and communicate the companies Conduct Risk Agenda
Along with the rest of the team train all staff on required Compliance and Conduct materials, including the development of relevant materials
Develop, update and provide Compliance input to relevant Compliance Policies, Departmental Procedures and internal Compliance Department processes to reflect FCA rules, internal requirements and other regulatory inputs
Assist with preparation and responses to internal and external regulatory exams/audits
Support monitoring appropriate information barriers and insider trading prevention procedures
Support the Head Advisory of Compliance, where appropriate, and liaise with stakeholders regarding compliance matters with parent and associate companies
Monitor UK and global regulatory developments, identifying new regulations that impact the business and recommend appropriate action to implement as necessary
Get involved in ad hoc Compliance and firm wide projects as required on behalf of Compliance by taking ownership of deliverables as well as acting as the compliance subject matter expert.