Compliance Advisory, Equities, London

Job Title: Compliance Advisory, Equities, London
Contract Type: Permanent
Location: London
Salary: Negotiable
Reference: BBBH14804_1491294106
Contact Name: Katherine Hunter
Contact Email:
Job Published: April 04, 2017 09:21

Job Description

A well-known, highly regarded global exchange group are looking for a Compliance Advisory Officer to sit within their Rules and Compliance team. The role offers significant development opportunities within a prestigious organisation and dynamic working environment.

This opportunity involves positioning yourself as an advisory officer covering the cash equities business where you will be involved in analysing and providing regulatory advice on new products, services and developments. In addition, you will also be required to follow up on actions arising from engagement with the FCA.

Specifically this will involve:

  • Provision of compliance advisory support to the cash equities business. This includes assistance in the management of submissions and notifications to the FCA.
  • Understanding new regulations and implementing measures accordingly.
  • Assisting in maintaining the Compliance risk management and monitoring, including the drafting of appropriate policies, procedures and reviews.
  • Following up on actions arising from engagement with the FCA.

The successful candidate will have the following:

  • Market and product knowledge in equity trading.
  • Good knowledge of the FCA Handbook.
  • Understanding of the existing and upcoming regulations; MifID, MifID II, MAR, EMIR.
  • Previous experience of liaising with regulatory authorities.

If you feel you have the relevant experience for this opportunity then please apply to have your CV sent to Katherine Hunter, Associate Recruitment Consultant at Twenty Recruitment.

Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.

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