The firm is a globally recognised name in investment banking. asset management and private banking and has a clear strategy for growth. The Investor Services division provides clients with structured investment solutions from a base of equity an fixed income products, principally in derivatives.
The firm is now keen to hire an AVP or Junior VP to join their Advisory team.
Your new role
Supporting the senior members of the Compliance Coverage team in providing advisory compliance support to the Equity Derivatives and Fixed Income Investor Products,. Examples of advisory matters include:
New business projects relating to specific transaction.
Business specific initiatives such as new product launches.
Participating in and/or in the development governance processes
Business catch ups with Senior Management (Trading, Sales, COO).
Providing advice on the application of global compliance policies, exchange rules and regulations.
Advising on new and existing products and all regulatory activities relating to product design and distribution specifically, retail and institutional product governance, inducements, conflicts of interest, distributor due diligence questionnaires.
The review of product/service-related materials such as marketing materials, term sheets, presentations and product brochures and disclosures relating to inducements.
Working with Legal, Compliance colleagues and other support staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters.
Liaising with Core Compliance colleagues on ABC, Cross Border, Control Room (MNPI/restricted list) Financial Crime matters.
Participating in regulatory change affecting the businesses, ensuring appropriate collaboration across General Counsel, Shared Services and the Business and assisting the business with implementing the new regulation in a robust and controlled manner.
Participating in the annual Compliance Risk Assessment Process.
Identifying regulatory or reputational risks and escalating to management for resolution.
Acting as a challenge and control function to the Business on compliance related matters including the business owned Risk & Control Assessment and undertaking Compliance testing/quality assurance of certain processes and activities Assist in the preparation off/delivery of regulatory training to the business.
Providing assistance in relation to control and regulatory incidents, Internal audits and reviews within the Business.
What you'll need to succeed
Prior Compliance advisory experience from a wholesale markets background
Degree educated or equivalent and financial services industry qualifications preferable.
Excellent written and communication skills.
Awareness of key of UK and European regulation
Enthusiastic and key to learn
Ability to think outside the box and provide creative solutions.
Be able to multi task, prioritize and work to deadlines in a pressurised environment.
This is an excellent opportunity for you to learn about complex investment products and their trading functions in a fast paced environment. Hays knows this team very well and can provide a detailed overview of the team and their backgrounds.
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now. If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.
Internal Number: 4891236
About Hays Financial Markets
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