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- Tasks: Lead US regulatory compliance operations and provide strategic advice.
- Company: Join a leading Investment Bank known for its prestigious clientele and global reach.
- Benefits: Enjoy a full-time role with opportunities for professional growth and development.
- Why this job: Be part of a close-knit team making a real impact in financial compliance.
- Qualifications: Strong compliance advisory experience with knowledge of CFTC/NFA and SEC regulations required.
- Other info: Inclusive recruitment process; support available for all candidates.
The predicted salary is between 60000 - 84000 ÂŁ per year.
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Direct message the job poster from Simmons & Hanbury
Senior Legal & Compliance Consultant – In-House Financial Services
Our client
Our client is a leading Investment Bank who are seeking a Senior Compliance Officer to work within a brilliant, close knit Compliance function and have responsibility for their EMEA coverage of US regulatory compliance and reporting, including CFTC and SEC Swap Dealer requirements.
Key Responsibilities
- Lead and manage daily US regulatory compliance operations while supporting the Head of Advisory as needed.
- Contribute to the development of the US Regulatory Compliance framework (including CFTC/NFA and SEC programs) across all relevant EMEA business areas.
- Provide strategic US regulatory compliance advice, partnering with the regulatory change team on policy updates and training.
- Deliver regulatory training to front office staff, represent advisory compliance on key committees, and spearhead compliance reporting.
Experience Requirements:
- Strong Markets Compliance advisory experience with exposure to CFTC/NFA and SEC Swap Dealer.
- Knowledge of market regulations and compliance, including MAR, MiFID II, and US regulatory requirements.
- Excellent interpersonal and teamwork skills; able to manage large workloads and tight deadlines with accuracy and attention to detail
Due to the high volume of applications, if you haven’t heard back from the team on this role, unfortunately, your application has been unsuccessful. If your profile matches any of our other opportunities, one of our consultants will be in touch.
About Simmons & Hanbury
Simmons & Hanbury is a specialist executive search firm that sources and secures the best human capital and future leaders for our clients. We provide an integrated international service to support our clients across the globe, from our group headquarters based in the heart of the City of London. We support some of the most prestigious organisations in the world, across financial services, commerce & industry, and professional services. Our services include executive search, interim solutions and market intelligence within the Legal, Compliance, Corporate Governance and Human Resources practice areas.
We are committed to creating an inclusive and accessible recruitment process for all candidates. If you require any reasonable adjustments to participate in the application process, please reach out directly. We welcome discussions about your needs and endeavour to provide support to ensure a positive experience.
Seniority level
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Seniority level
Director
Employment type
-
Employment type
Full-time
Job function
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Job function
Finance and Legal
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Industries
Financial Services, Investment Banking, and Banking
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Senior Compliance Officer - Swap Dealer - Leading Investment Bank employer: Simmons & Hanbury
Contact Detail:
Simmons & Hanbury Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer - Swap Dealer - Leading Investment Bank
✨Tip Number 1
Network with professionals in the compliance and financial services sectors. Attend industry events or webinars where you can meet people who work at leading investment banks. This can help you gain insights into the company culture and potentially get a referral.
✨Tip Number 2
Stay updated on the latest US regulatory changes, especially those related to CFTC and SEC Swap Dealer requirements. Being knowledgeable about current regulations will not only prepare you for interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance operations in previous roles. Highlight your experience with regulatory frameworks and training initiatives, as these are key responsibilities for the position.
✨Tip Number 4
Engage with the job poster or hiring manager directly through LinkedIn. A thoughtful message expressing your interest in the role and asking insightful questions can set you apart from other candidates and show your enthusiasm for the position.
We think you need these skills to ace Senior Compliance Officer - Swap Dealer - Leading Investment Bank
Some tips for your application 🫡
Understand the Role: Thoroughly read the job description for the Senior Compliance Officer position. Familiarise yourself with the key responsibilities and required experience, particularly around US regulatory compliance and reporting.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance advisory roles, especially with CFTC/NFA and SEC regulations. Use specific examples that demonstrate your expertise in managing compliance operations.
Craft a Compelling Cover Letter: Write a cover letter that addresses your understanding of the role and how your skills align with the company's needs. Mention your experience with regulatory frameworks and your ability to deliver training and support to teams.
Highlight Soft Skills: In your application, emphasise your interpersonal and teamwork skills. Provide examples of how you've successfully managed large workloads and tight deadlines while maintaining attention to detail.
How to prepare for a job interview at Simmons & Hanbury
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of the CFTC, NFA, and SEC regulations. Be prepared to discuss how these frameworks impact compliance operations in the EMEA region, as this will demonstrate your expertise and readiness for the role.
✨Showcase Your Advisory Experience
Highlight your previous experience in providing compliance advisory services, especially in relation to swap dealer requirements. Use specific examples to illustrate how you've successfully navigated complex regulatory environments.
✨Demonstrate Teamwork Skills
Since the role involves working closely with various teams, be ready to share examples of how you've collaborated effectively in past roles. Emphasise your interpersonal skills and ability to manage workloads under tight deadlines.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in real-world compliance scenarios. Think through potential challenges you might face in the role and how you would address them, showcasing your strategic thinking.
