At a Glance
- Tasks: Lead compliance for e-trading, ensuring adherence to regulations and internal policies.
- Company: Join a leading global financial services company at the forefront of innovation.
- Benefits: Competitive salary, comprehensive benefits, and opportunities for professional growth.
- Other info: Collaborative environment with a focus on cutting-edge technology and transformative solutions.
- Why this job: Make a real impact in the dynamic world of trading compliance and technology.
- Qualifications: Extensive compliance experience in wholesale markets and knowledge of relevant regulations.
The predicted salary is between 100000 - 150000 £ per year.
We're seeking a future team member to join our Markets Compliance team primarily supporting trading with a particular focus on e-trading. The Trading Compliance Officer will report to the EMEA Head of Markets Compliance and will provide compliance advisory, oversight, and challenge across electronic trading activities, algorithmic trading controls, best execution, and regulatory reporting (TTR). To ensure that Markets meets the corporate requirements of the group as well as the strategic requirements of the Bank of New York within the specific remit for areas of responsibility.
Responsibilities include:
- Working with business lines and business partner functions to review the impact of regulatory change and to participate in working groups as the Senior Compliance Specialist for Markets.
- Engaging with the trading desks, technology, risk, legal, surveillance and operations teams to help ensure that e-trading activities are conducted in line with applicable laws, rules, regulations and internal policies.
- Working with other Compliance professionals across the broader EMEA Compliance team to ensure co-ordinated and complete delivery of services and effective communication of relevant information and observations.
- Engaging with the Markets business and compliance functions in the regional offices, US and APAC.
- Recording and preparing escalation data, the provision of MI and notifications on Compliance issues impacting Markets in line with Group and local processes.
- Assessing compliance implications of new products, venues, market structure development and trading technologies.
- Representing the Markets Compliance function at relevant internal and external meetings where required.
- Contributing to the development of projects and programs to improve compliance and enhance the control environment.
Requirements include:
- Compliance experience, covering wholesale markets compliance, specifically FIEQ, FX and algorithmic trading.
- Experience working in a compliance function within a large global organisation.
- Detailed knowledge of FCA, MiFID, MIFIR, EMIR and MAR rules and regulatory requirements.
- Thorough understanding of algorithmic and automated trading controls, including governance, deployment controls and change management.
As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world's investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide. Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about.
Senior Vice President, Compliance & Control - Trading Compliance Officer (London) employer: BNY
At BNY, we pride ourselves on being an exceptional employer, offering a dynamic work culture that fosters innovation and collaboration. Our London office provides employees with unparalleled growth opportunities in the fast-paced world of trading compliance, supported by a commitment to professional development and a diverse team environment. Join us to be part of a leading global financial services company where your contributions will directly impact the future of finance.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Vice President, Compliance & Control - Trading Compliance Officer (London)
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join online forums, and don’t be shy about reaching out on LinkedIn. We all know that sometimes it’s not just what you know, but who you know that can help you land that dream job.
✨Show Off Your Skills
When you get the chance to chat with potential employers, make sure to highlight your relevant experience and skills. We want to see how you can bring value to the team, so don’t hold back on sharing your successes and how they relate to the role!
✨Prepare for the Interview
Do your homework before the interview! Understand the company’s values, recent news, and how the role fits into their goals. We want you to come across as genuinely interested and knowledgeable, which will definitely set you apart from the competition.
✨Apply Through Our Website
Don’t forget to apply directly through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows us that you’re serious about joining our team and ready to take the next step in your career.
We think you need these skills to ace Senior Vice President, Compliance & Control - Trading Compliance Officer (London)
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the role of Senior Vice President, Compliance & Control. Highlight your experience in compliance, especially in trading and e-trading, and don’t forget to mention any relevant regulatory knowledge you have!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention specific experiences that relate to algorithmic trading controls and how you've navigated compliance challenges in the past.
Showcase Your Knowledge:Demonstrate your understanding of FCA, MiFID, MIFIR, EMIR, and MAR rules in your application. This shows us that you’re not just familiar with the regulations but can also apply them effectively in a trading environment.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at BNY
✨Know Your Regulations
Make sure you brush up on the key regulations like FCA, MiFID, MIFIR, EMIR, and MAR. Being able to discuss these in detail will show that you’re not just familiar with compliance but that you can apply this knowledge practically in the context of trading.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully navigated compliance challenges, especially in e-trading or algorithmic trading. This will help demonstrate your hands-on experience and how it aligns with the responsibilities of the role.
✨Engage with the Team
During the interview, express your enthusiasm for collaborating with various teams like trading desks, technology, and legal. Highlighting your ability to work cross-functionally will show that you understand the importance of teamwork in compliance.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s approach to compliance and how they handle regulatory changes. This not only shows your interest in the role but also your proactive mindset towards continuous improvement in compliance practices.
