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Compliance Officer - Fixed Income & FX

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Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/AXP/26427
Contact Adam Pollard
Date posted 05-07-2017

A leading global wealth manager with a strong investment banking arm is currently looking for a Compliance Officer – Fixed income to join their EMEA Compliance Function. This role will require the individual to provide support to the Divisional Heads of EMEA Compliance function in ensuring the business areas understanding of external regulatory requirements and internal policy is kept current.

As the Compliance Officer your main responsibilities will include:

• Support the business divisions in the execution of its activities in a regulatory complaint manner and in observance of the external regulatory requirements and internal policies, etc.
• Act as a robust and effective 2nd line of defence through effective challenge and act as a guardian of the banks regulatory, ethical conduct and reputation and escalate matters appropriately to the proper level of seniority.
• Act as emissary of conduct risk promoting the values of the bank and raising appropriate challenge or escalation where there is evidence or strong likelihood of customer detriment or impact to market integrity arising from the conduct of the bank or its employees.

The successful candidate will have:

• You should have proven experience in a Compliance coverage role covering FICC markets including forex products.
• You will have experience with recent market developments on conduct codes within the fixed income markets and FX markets including FMSB and the BIS global code would be beneficial.
• You have an active understanding of the impacts of MiFID II on FICC markets is beneficial.

For more information on the role please contact Adam Pollard on 02031453348 or adam.pollard@bruinfinancial.com

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Contact Adam about this job

Associate, Consultant