At a Glance
- Tasks: Ensure compliance in trading activities and engage with various teams for effective oversight.
- Company: Join a leading financial institution with a strong focus on compliance and control.
- Benefits: Competitive salary, comprehensive benefits, and opportunities for professional growth.
- Other info: Dynamic role based in London with global collaboration opportunities.
- Why this job: Make a significant impact in the fast-paced world of electronic trading compliance.
- Qualifications: Experience in compliance, trading, and regulatory frameworks is essential.
The predicted salary is between 100000 - 150000 £ per year.
We’re seeking a future team member for the role of Senior Vice President, Compliance & Control – Trading Compliance Officer 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 coordinated 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:
Senior Vice President, Compliance & Control - Trading Compliance Officer in London employer: SATOS Jobs
As a leading financial institution based in London, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our commitment to compliance excellence not only ensures regulatory adherence but also empowers our team members to engage meaningfully with innovative trading practices. Join us to be part of a collaborative environment where your expertise will directly contribute to shaping the future of trading compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Vice President, Compliance & Control - Trading Compliance Officer in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like SATOS Jobs looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Vice President, Compliance & Control - Trading Compliance Officer in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at SATOS Jobs. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at SATOS Jobs
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with SATOS Jobs’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
