Equities Compliance Manager

CLIENT

Our client a leading Investment Bank is current looking for a compliance manager to cover their Equities business.

RESPONSIBILITIES:

To advise on aspects of Global Markets (GM) Equities businesses in order that line management can ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice.
To advise on aspects of Global Markets (GM) Equities businesses in order that line management can ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice.
Global Markets Compliance - Equities provides compliance coverage to Cash Equities Sales and Trading, Convertible Bonds, Execution Services, Equity Capital
Markets, Equity Finance, Equity Derivatives and Gilts. This role will primarily focus on the compliance requirements of Cash Equities Sales and Trading and Equity Capital Markets Syndicate but cross desk coverage is needed.
To work with the business on high profile projects to ensure that the regulatory demands of those projects are met.
To assist line management in resolving compliance problems which arise in the agreed business units.

EXPERIENCE REQUIRED

A good level of Sales and Trading compliance experience in Equities products.
Knowledge of Equity Exchange rules and procedures
Ambition to enhance compliance knowledge and skills in a rapidly changing and dynamic Markets environment.