Job Overview

Equities Advisory

Location: London, United Kingdom Salary: 500
Type: Contract Contact: Kwame Owusu
Posted: about 1 year ago

A transatlantic consumer, corporate and investment bank is offering you the opportunity to join the Investment Bank and Equities Advisory Compliance team.

Role Purpose

As a member of the Equities Compliance advisory team, to provide advice and Compliance support to Equities businesses

The global Equities Compliance advisory team provides advice and compliance support to equity, equity-linked, funds and equity financing business units and forms part of Investment Bank Compliance. Within the Investment Bank, Markets comprises Macro, Equities, Credit and Distribution businesses.

Key Accountabilities (but not limited to)

  • Provide day to day compliance support to Equities businesses as the Compliance second line of defence.
  • Particular focus on equity and equity derivative business in UK and Europe, including trading and distribution of equity derivatives, structured products, cash equities and ancillary products. Additional focus on administration of proprietary strategy indices and on asset management relating to index products.
  • Expected to be accountable for own book of work, taking ownership of issues and responsibility for seeing matters through to delivery, with the ability to work independently or with support from team members, whilst seeking relevant input from senior partners across all relevant infrastructure and business areas to achieve innovative solutions and/or timely and high quality advice.
  • The role demands a commercially aware approach while maintaining high standards of conduct.
  • Driving transmission of Compliance policy, procedures and practice into the business and supporting development by businesses, particularly for administration of proprietary strategy indices and asset management.
  • Informing business of applicable Compliance initiatives, regulatory requirements and rule changes, consultation and implementation. This will involve, for example, independent technical analysis of regulatory developments and impact, in collaboration with Compliance colleagues and business partners.
  • Assisting or leading development and delivery of bespoke Compliance training.
  • Involvement in relevant business projects with regulatory implications, aiming to achieve forward-thinking solutions to changing regulatory requirements such as MiFID II.
  • Real-time and responsive advice to the business and other infrastructure functions on matters arising day-to-day, for example: trading queries relating to market impact, exchange rules, trade amendments or trade reporting, potential conflicts of interest, review of marketing materials, proposed distributor relationships and proposed transactions, responding to exchange queries (such as real-time trading behaviour or trade reporting), wall crossing requests, non-market price transactions, client complaints, representation of Equities Compliance in governance fora, preparing briefings for senior business and Compliance managers, escalating competition law concerns and potential breaches of law, regulation or internal policy.

To apply, please submit your application along with your CV.