January 4, 2024

Compliance Advisory – Capital Markets

We are recruiting for an expanding Global Brokerage firm looking to hire a Compliance Officer to join their Capital Markets Advisory team, to deliver second line oversight for the Capital Markets Business activities.

Main Responsibilities

  • Develop and maintain relationships with the relevant business groups including regular documented catchups with key business stakeholders.
  • Ensure the timely identification of regulatory change affecting the wider businesses groups ensuring appropriate collaboration across all relevant Support Functions and the Business and assisting the Business with implementing the new regulation in a robust and controlled manner.
  • Deliver ongoing compliance support to relevant business groups including the provision of advice on the application of global compliance policies, exchange rules and regulations
  • Identifying regulatory or reputational risks and escalating to management for resolution
  • Working with Legal, Compliance colleagues and other support function staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters
  • Participating in the development and delivery of annual regulatory training plan for the Business as well as ad hoc trainings, as needed

 Job Requirements:

  • Extensive compliance advisory experience from a bank, brokerage or listed derivative exchange
  • Strong knowledge of Wholesale Financial Markets with specific focus on Equities, Rates, FX and Credit business lines
  • Strong knowledge and understanding of regulatory frameworks.
  • Experience in leading and liaising with Exchanges and Regulators an advantage
  • Excellent attention to process and detail

Unless otherwise stated, candidates must have the right to work in the UK.

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

Apply for this role through this job post or email an application to vacancies@clarcrecruitment.com

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