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This is an exciting opportunity for a mid or senior level equities compliance officer to help a city based investment bank build out a new Equity Sales &Trading Division. Reporting into the Head of Compliance, you will be the equity division's lead compliance advisor to their newly created Cash & Derivatives business whilst being part of a larger compliance team. The successful candidate should demonstrate a track record of front office advisory to an equities business and have the experience to be the main point of contact to this business.

Responsibilities:

• To provide advice and guidance on applicable exchange and regulatory requirements (FSA, LSE, and other relevant global regulators and exchanges etc.) and firm policy issues and requirements.
• Provide pro-active, timely advice on the relevant regulatory and firm policy requirements in respect of ad hoc queries, specific transactions, new product initiatives, etc.
• Assist in preparing for regulatory visits, including conducting reviews of affected areas; briefing relevant staff; coordinating the logistics of the visit and accompanying the regulators whilst at the firm; and contributing to the follow-up issues, including correspondence, arising.
• Ensure timely and accurate responses to regulatory enquiries relating to the above areas including discussion with regulatory bodies of information required and deadlines, and liaison with internal groups to obtain information. Review data obtained and prepare correspondence for internal review prior to responding.
• Keep abreast of regulatory enforcements and trends in relation to equities compliance and disseminate information to front office and Risk colleagues as appropriate
• Participate as required in internal investigations into potential breaches of regulatory requirements or firm policy.
• Participate as required in department initiatives in respect of regulatory developments and impact analysis on the firm's business and support groups.
• Liaise and provide guidance to Legal & Compliance colleagues in International and other regions in respect of equities compliance issues.
• Ensure appropriate compliance training is in place for Equities employees.
• Provide input to an ongoing project to implement automated surveillance systems to identify potential market abuse/ misconduct.
• To provide assistance to other projects and tasks performed by the Compliance team

Your background must demonstrate:

• a sound knowledge and understanding of equity products, market practice and the regulatory environment. Analytical and practical.

• Experience of a front office equity advisory role within a wholesale brokerage or investment banking environment.
• Sound knowledge of equity products, market practice and the regulatory environment.
• Knowledge of relationship between equity product trading and market abuse and Chinese walls issues

• Develops and maintains ongoing working relationships, networks and partnerships to help achieve business goals through others

If this sounds an exciting opportunity, please apply ASAP to mark@holmessearch.co.uk. Ref: EMB89ECO. Telephone: 01732 746683

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