A leading, international bank is looking to hire a research compliance professional to assist the cross-asset research team in providing advice on compliance and regulatory matters affecting the business.
This team’s core function is to provide a clear and comprehensive analysis of different asset classes which is viewed by its investor clients to assist their investment strategy decision-making. It comprises of 300 professionals throughout Western & Eastern Europe, the US and Asia.
This role’s primary duties are to provide day-to-day advice to the team and other business areas, handle regulatory inspection by external bodies and support in the implementation of compliance policies and procedures.
- Work with the business and controls functions in handling responses to regulatory issues specific to cross-asset research
- Deal with any matters which arise from an external audit of the cross-asset research function
- Provide advice to management on compliance and regulatory risks concerning their business areas and working together to implementing appropriate solutions to mitigate these risks; for example, policy and TOM changes related to MiFID II
- Find out current market best practice in relation to cross-asset research and advise compliance and management accordingly
- Coordinate and take part in projects related to cross-asset research, working with and supervising other key compliance stakeholders i.e. control room
- Educated to a graduate level
- Compliance advisory experience and a competent understanding of research compliance
- Prior exposure to managing regulatory investigations
- Experience in controls testing and implementation of new policies and procedures; conduct risk themes such as SMR is advantageous
- Practical working knowledge of global regulatory rulings related to cross-asset research
- Being multilingual is preferable, but not essential