Markets Compliance Officer

Job DescriptionOur client in the Investment Banking space is on the lookout for a qualified Markets Compliance Officer to join their thriving team.Key ResponsibilitiesThe key responsibilities are:Providing advice to front office personnel on Fixed Income sales & trading issues.Building and maintaining strong working relationships with Business Management, Front Office desks, Operations, etc. and with colleagues within Compliance.Working collaboratively with colleagues for the implementation of new and ongoing regulatory changes.Assisting in maintenance of regulatory and exchange relationships, including dealing with exchange queries, investigations and audits as well as formal regulatory enquiries from national regulators such as the FCA.Providing training to front office personnel on general regulatory matters such as New Joiner Compliance Inductions, codes of market conduct, sales/trading market practices as well as on other ad hoc regulatory matters.Monitoring of Sales Trading Workflow, Market Making Obligations, Primary Dealer Auction activity and Disclosures for Position Limits and Short Selling Restrictions.Providing compliance support for monitoring of Extended Settlements, As-of late trade bookings, Fails, Buy-in notifications and process, mandatory buy-ins and other settlement issues.Assisting with the creation and presentation of Compliance MI to the Heads of the business and the COOs.Backing up Trading Floor Compliance colleagues in other business areas.Liaising closely with global markets compliance colleagues in the US, Asia and European BranchesAd hoc compliance tasks and projects that will arise from time to time.Person SpecificationThe following skills and experience are required for this role:The candidate should have markets experience or exposure working within settlements, middle office or trading floor support roles.The candidate should have strong interpersonal and communication skills.The candidate should have strong time management and organisational skills and the ability to meet deadlines and work under pressure.This role will suit an ambitious, career-minded individual who wants to work in a dynamic environment.has context menu
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