Compliance Advisory (F&O and OTC Clearing) (15246313/001) London, England
We are currently recruiting for a Compliance advisory consultant within the clearing line of business for an Investment Bank based in the Docklands. This role will be focusing on F&O and OTC clearing.
The role will include but not be limited to:
• Supporting the team lead in executing the Compliance strategy for F&O and OTC Clearing (including intermediation and FXPB), and F&O agency execution businesses
• Providing advice and interpretation on a wide range of regulatory and firm policy issues
• Keeping abreast of regulatory and legislative changes and providing advice to enable the businesses to operate in a compliant and controlled manner
• Managing regulatory relationships and visits
• Developing and implementing Compliance policies and procedures
• Conducting ongoing compliance risk assessments
• Reviewing new business initiatives and assessing their regulatory implications
• Developing and executing Compliance education
• Participating in regional/global Compliance projects
The ideal candidate is likely to have:
• Proven track record in an Compliance advisory role
• Extensive Compliance experience and/or a solid background in the following: post-trade clearing/operations, legal, regulatory consulting, regulatory audit or regulatory risk
• Excellent knowledge of listed derivatives exchange rules (e.g. Eurex and ICE Clear Europe/LIFFE), CCP rules (e.g. Eurex Clearing and ICE Clear) and European rules, directives and regulations (e.g. FCA, MiFID and EMIR)
• Track record in interpreting regulatory requirements and relating them to operational requirements
If interested please apply online ASAP
The role will include but not be limited to:
• Supporting the team lead in executing the Compliance strategy for F&O and OTC Clearing (including intermediation and FXPB), and F&O agency execution businesses
• Providing advice and interpretation on a wide range of regulatory and firm policy issues
• Keeping abreast of regulatory and legislative changes and providing advice to enable the businesses to operate in a compliant and controlled manner
• Managing regulatory relationships and visits
• Developing and implementing Compliance policies and procedures
• Conducting ongoing compliance risk assessments
• Reviewing new business initiatives and assessing their regulatory implications
• Developing and executing Compliance education
• Participating in regional/global Compliance projects
The ideal candidate is likely to have:
• Proven track record in an Compliance advisory role
• Extensive Compliance experience and/or a solid background in the following: post-trade clearing/operations, legal, regulatory consulting, regulatory audit or regulatory risk
• Excellent knowledge of listed derivatives exchange rules (e.g. Eurex and ICE Clear Europe/LIFFE), CCP rules (e.g. Eurex Clearing and ICE Clear) and European rules, directives and regulations (e.g. FCA, MiFID and EMIR)
• Track record in interpreting regulatory requirements and relating them to operational requirements
If interested please apply online ASAP