At a Glance
- Tasks: Ensure compliance in trading activities and engage with various teams to uphold regulations.
- Company: Join a leading global organisation focused on compliance and control in trading.
- Benefits: Competitive salary, professional development, and opportunities for career advancement.
- Other info: Dynamic role with opportunities to collaborate across global offices.
- Why this job: Make a real impact in the fast-paced world of electronic trading compliance.
- Qualifications: Degree education 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:
- 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.
- 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.
- Work with business lines and business partner functions to review the impact of regulatory change and participate in working groups as the Senior Compliance Specialist for Markets.
- Engage 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.
- Work 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.
- Engage with the Markets business and compliance functions in the regional offices, US and APAC.
- Record and prepare escalation data, the provision of MI and notifications on Compliance issues impacting Markets in line with Group and local processes.
- Assess compliance implications of new products, venues, market structure development and trading technologies.
- Represent the 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 employer: hackajob
As a Senior Vice President, Compliance & Control - Trading Compliance Officer at our London office, you will be part of a dynamic and inclusive work culture that prioritises employee growth and development. We offer competitive benefits, a collaborative environment, and the opportunity to engage with diverse teams across global markets, ensuring that your contributions have a meaningful impact on compliance and regulatory standards in the trading sector.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Vice President, Compliance & Control - Trading Compliance Officer
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and trading sectors. Attend industry events or webinars to meet potential employers and get your name out there. 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 of Trading Compliance Officer. Show them you’re not just a fit, but the perfect fit!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation and reiterate your interest in the position. It keeps you fresh in their minds and shows your enthusiasm.
✨Tip Number 4
Apply directly through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in joining our team at StudySmarter.
We think you need these skills to ace Senior Vice President, Compliance & Control - Trading Compliance Officer
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’ve successfully navigated compliance challenges in the past.
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 to different audiences.
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, you’ll find all the details you need right there!
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 the Team
Demonstrate your ability to work collaboratively by discussing how you've engaged with various teams like trading desks, technology, and legal in previous roles. Highlight your communication skills and how you adapt your style to different audiences.
✨Be Ready for Scenario Questions
Expect scenario-based questions that test your problem-solving skills in compliance situations. Think about potential regulatory changes and how you would assess their impact on trading activities, and be prepared to discuss your thought process.
