At a Glance
- Tasks: Ensure compliance in e-trading, oversee regulatory reporting, and engage with trading desks.
- Company: Join a leading global financial institution with a strong commitment to compliance.
- Benefits: Competitive salary, comprehensive benefits, and opportunities for professional growth.
- Other info: Dynamic role with excellent career advancement opportunities in a collaborative environment.
- Why this job: Make a real impact on trading compliance and work with cutting-edge technology.
- Qualifications: Degree or industry qualifications with experience in wholesale markets compliance.
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). This role is based in London.
In this role, you'll make an impact in the following ways:
- 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.
- To ensure that the areas of responsibility of the role are running efficiently and effectively and in a controlled manner, including reflecting appropriate apportionment of responsibilities, segregation of duties and controls to prevent conflicts of interest.
- Responsible for 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.
- Responsible for recording and preparing escalation data, the provision of MI and notifications on Compliance issues impacting Markets in line with Group and local processes.
- Proven ability to assess compliance implications of new products, venues, market structure development and trading technologies.
- Markets Compliance function at relevant internal and external meetings where required.
- Contribute to the development of projects and programs to improve compliance and enhance the control environment.
To be successful in this role, we're seeking the following:
- Preferably degree education and/or industry qualifications.
- Compliance experience, covering wholesale markets compliance, specifically FIEQ, FX and algorithmic trading.
- Experience working in a compliance function within a large global organisation.
- Ability to deliver multi-mode communications that convey a clear understanding of the unique needs of different audiences.
- 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.
Senior Vice President, Compliance & Control - Trading Compliance Officer in London employer: hackajob
As a Senior Vice President, Compliance & Control - Trading Compliance Officer at our London office, you'll be part of a dynamic Markets Compliance team that values integrity and collaboration. We offer a supportive work culture that prioritises employee growth through continuous learning opportunities and engagement with diverse teams across the globe. Join us to make a meaningful impact in a role that not only challenges you but also rewards your contributions in a thriving financial environment.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Vice President, Compliance & Control - Trading Compliance Officer in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and trading sectors. Attend industry events or webinars where you can meet potential colleagues and decision-makers. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA, MiFID, and EMIR regulations. Be ready to discuss how your experience aligns with the role's requirements. We want to see that you can talk the talk and walk the walk!
✨Tip Number 3
Showcase your expertise in algorithmic trading controls during discussions. Bring examples of how you've navigated compliance challenges in the past. This will demonstrate your hands-on experience and problem-solving skills.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Senior Vice President, Compliance & Control - Trading Compliance Officer in 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 qualifications or industry knowledge that aligns with our needs.
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. Talk about your experience with regulatory requirements like FCA and MiFID, and how you can contribute to our Markets Compliance team.
Showcase Your Communication Skills:Since this role involves engaging with various teams, make sure to demonstrate your communication skills in your application. Use clear and concise language, and provide examples of how you've effectively communicated complex compliance issues in the past.
Apply Through Our Website:We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at hackajob
✨Know Your Regulations
Make sure you brush up on the FCA, MiFID, MIFIR, EMIR, and MAR rules. Being able to discuss these regulations confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Showcase Your Experience
Prepare specific examples from your past roles that highlight your experience in wholesale markets compliance, especially in e-trading and algorithmic trading. Use the STAR method (Situation, Task, Action, Result) to structure your responses.
✨Engage with Stakeholders
Demonstrate your ability to work with various teams like trading desks, technology, and legal. Be ready to discuss how you've collaborated with different functions to ensure compliance and how you handle conflicts of interest.
✨Communicate Clearly
Practice delivering your thoughts clearly and concisely. Tailor your communication style to suit different audiences, as this role requires engaging with diverse stakeholders across the organisation.
