THE JOB - FIXED INCOME / DEBT CAPITAL MARKETS COMPLIANCE ADVISORY MANAGER
Working in a Compliance team aligned to the front office, you will act as the Bank's subject matter expert and 'go to' person in relation to compliance and regulatory matters that affect the Fixed Income sales / trading and Debt Capital Markets underwriting and syndication.
You will advise members of the business on Compliance matters within both public and private side business lines, liaising with Legal and other members of Compliance necessary to resolve issues.
Typically, you will provide advice on:
- Compliance and regulatory aspects of new products / product reviews within Fixed Income markets (Credit / Bonds / FX / Rates / Commodities / OTC Derivatives) OR Debt Capital Markets
- MiFID I, MiFID II, Dodd-Frank, Market Abuse Regime / Market Abuse Directive, EMIR, Volcker
- Regulatory risks including the compliance risk management mechanism of the department, identifying and assessing before reporting to senior management
- The design and implementation of first line of defence systems and controls ensure that business processes and systems operate in accordance with the Bank's Compliance policy and applicable regulatory requirements
- Regulatory developments, laws, rules, principles and regulatory initiatives that are likely to have significant impact on Fixed Income and DCM activities
You will join a Global Investment Bank that has experienced significant growth over the last 5 years, doubling in overall headcount and expanding into new markets.
The working environment is unlike that of the Top Tier Investment Banks; you will have a broad, dynamic remit benefit from a diverse range of responsibilities, offering excellent exposure, as opposed to the increasingly specialised roles seen across big ticket Banks at the moment.
Please apply using the link above if you have Compliance OR Legal experience and knowledge of either:
- Credit / Bonds / FX / Rates / Commodities / OTC Derivatives
- Debt Capital Markets
This job is posted by Tom Warren, Senior Compliance Recruitment Consultant at Twenty Financial Services.