Compliance Executive

About Us

Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world’s financial markets.

Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.

We have 4,200 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.

As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.

Rothschild & Co is committed to an inclusive and supportive environment where diversity and different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.

About Redburn Atlantic

Redburn Atlantic is built upon a commitment to intellectual freedom, commercial research, best execution and premium client service. Redburn was founded in 2003 with a strong partnership ethos and entrepreneurial spirit and has grown from 14 employees to approximately 260. As of August 2023, Redburn has combined with Atlantic Equities, one of the leading North America/Europe research and execution firms based in London. Redburn Atlantic has an equal coverage list of US and European stocks with a team of over 60 publishing analysts. The transaction was led by our parent, Rothschild & Co.

Redburn Atlantic provides institutional investors with equity research, quantitative and technical analysis, economics research and agency execution in European and North American equity markets. In addition to research and execution, Redburn Atlantic Access links investors to Redburn Atlantic’s network of industry executives and independent experts. Redburn Atlantic has offices in London, Paris, Madrid, Frankfurt, New York, Dallas and Boston.

The Role

The role is a generalist compliance role with a focus on the trading side of the business, reporting to the Head of Compliance. The successful candidate will be part of a team of eight who are responsible for ensuring that the company has the appropriate controls and procedures in place to ensure compliance with the UK, EU and US regulatory and legislative regimes applicable to the activities of the company, and all applicable company policies and procedures.

Responsibilities

• Provide compliance advice to the business with a focus on execution services. Knowledge of MAR, transaction reporting and trade reporting required.
• Conduct daily market abuse surveillance of automated alerts and escalate potential risks or concerns as appropriate.
• Draft and submit STORs.
• Investigate and manage responses to ad hoc regulatory or exchange queries.
• Assist in the interpretation and implementation of new regulation or guidance and update policies and procedures as required.
• Understanding of Takeover Panel reporting requirements is preferable.
• Undertake monitoring of business and staff activities as outlined in the compliance monitoring programme.
• Deliver induction training sessions and develop training for different departments within the firm.
• Assist the team and provide compliance advisory support.
• Depending on experience the candidate will also be responsible for:
  • KYC and AML checks.
  • CASS monitoring and advisory support.
  • SMCR processes including SMF Applications and Certification.

Key Skills and Experience Required

• In the region of 4 years’ experience in a compliance function ideally from an equities background with a professional client-base. Candidates with less than 4 years’ experience with highly relevant experience will also be considered.
• Previous market abuse surveillance experience is essential.
• Previous experience providing advice on regulatory reporting matters is required.

Person Specification

• Highly organised; able to prioritise workload, meet deadlines and communicate progress.
• Effective communicator; both in writing and orally.
• Confident; able to engage with staff of all levels across all departments.
• Strong attention to detail; able to spot irregularities and identify risks.
• High level of accuracy; specifically, data input.
• Team player; able to work effectively in a team.

Financial Conduct Authority (FCA)

Candidates will be assessed on whether they have the relevant qualifications, training, competence, and personal characteristics to undertake the role.

Redburn Atlantic conducts thorough background screening and fitness and propriety assessments on its employees.

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