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- Tasks: Lead US regulatory compliance operations and provide strategic advice across EMEA.
- Company: Join a leading Investment Bank known for its inclusive culture and global reach.
- Benefits: Enjoy a full-time role with competitive salary and opportunities for professional growth.
- Why this job: Be part of a close-knit team making a real impact in financial compliance.
- Qualifications: Strong compliance experience with knowledge of CFTC, SEC, and market regulations required.
- Other info: Simmons & Hanbury values diversity and offers support throughout the application process.
The predicted salary is between 60000 - 84000 ÂŁ per year.
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Senior Legal & Compliance Consultant – In-House Financial Services
Our client
Our client is a leading Investment Bank who are seeking a Senior Compliance Officer to work within a brilliant, close knit Compliance function and have responsibility for their EMEA coverage of US regulatory compliance and reporting, including CFTC and SEC Swap Dealer requirements.
Key Responsibilities
- Lead and manage daily US regulatory compliance operations while supporting the Head of Advisory as needed.
- Contribute to the development of the US Regulatory Compliance framework (including CFTC/NFA and SEC programs) across all relevant EMEA business areas.
- Provide strategic US regulatory compliance advice, partnering with the regulatory change team on policy updates and training.
- Deliver regulatory training to front office staff, represent advisory compliance on key committees, and spearhead compliance reporting.
Experience Requirements:
- Strong Markets Compliance advisory experience with exposure to CFTC/NFA and SEC Swap Dealer.
- Knowledge of market regulations and compliance, including MAR, MiFID II, and US regulatory requirements.
- Excellent interpersonal and teamwork skills; able to manage large workloads and tight deadlines with accuracy and attention to detail
Due to the high volume of applications, if you haven’t heard back from the team on this role, unfortunately, your application has been unsuccessful. If your profile matches any of our other opportunities, one of our consultants will be in touch.
About Simmons & Hanbury
Simmons & Hanbury is a specialist executive search firm that sources and secures the best human capital and future leaders for our clients. We provide an integrated international service to support our clients across the globe, from our group headquarters based in the heart of the City of London. We support some of the most prestigious organisations in the world, across financial services, commerce & industry, and professional services. Our services include executive search, interim solutions and market intelligence within the Legal, Compliance, Corporate Governance and Human Resources practice areas.
We are committed to creating an inclusive and accessible recruitment process for all candidates. If you require any reasonable adjustments to participate in the application process, please reach out directly. We welcome discussions about your needs and endeavour to provide support to ensure a positive experience.
Seniority level
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Seniority level
Director
Employment type
-
Employment type
Full-time
Job function
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Job function
Finance and Legal
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Industries
Financial Services, Investment Banking, and Banking
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Senior Compliance Officer - Swap Dealer - Leading Investment Bank employer: Simmons & Hanbury
Contact Detail:
Simmons & Hanbury Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer - Swap Dealer - Leading Investment Bank
✨Tip Number 1
Familiarise yourself with the specific US regulatory compliance frameworks, particularly CFTC and SEC requirements. Understanding these regulations in depth will not only help you during interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals already working in compliance roles within investment banks. Engaging with them can provide valuable insights into the day-to-day responsibilities and challenges of a Senior Compliance Officer, which can be beneficial for your application.
✨Tip Number 3
Stay updated on recent changes in market regulations such as MAR and MiFID II. Being knowledgeable about current events and trends in compliance will show that you are proactive and well-informed, making you a more attractive candidate.
✨Tip Number 4
Prepare to discuss your experience in managing compliance operations and training staff. Highlighting specific examples of how you've successfully navigated compliance challenges will set you apart from other candidates.
We think you need these skills to ace Senior Compliance Officer - Swap Dealer - Leading Investment Bank
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your strong Markets Compliance advisory experience, particularly with CFTC/NFA and SEC Swap Dealer regulations. Use specific examples to demonstrate your knowledge of market regulations like MAR and MiFID II.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Discuss how your skills align with the key responsibilities, such as leading US regulatory compliance operations and delivering training to front office staff.
Showcase Interpersonal Skills: Since excellent interpersonal and teamwork skills are crucial for this position, include examples in your application that illustrate your ability to manage large workloads and tight deadlines while maintaining accuracy and attention to detail.
Highlight Relevant Experience: Emphasise any previous roles where you contributed to the development of compliance frameworks or provided strategic compliance advice. This will show your capability to partner with regulatory change teams effectively.
How to prepare for a job interview at Simmons & Hanbury
✨Know Your Regulations
Familiarise yourself with the CFTC, NFA, and SEC regulations, as well as other relevant market regulations like MAR and MiFID II. Being able to discuss these in detail will demonstrate your expertise and readiness for the role.
✨Showcase Your Advisory Experience
Prepare examples from your past roles where you provided compliance advice or developed compliance frameworks. Highlighting your strategic thinking and problem-solving skills will be crucial in showcasing your fit for the position.
✨Emphasise Teamwork and Communication Skills
Since the role involves working closely with various teams, be ready to discuss how you've successfully collaborated in the past. Share specific instances where your interpersonal skills made a difference in achieving compliance goals.
✨Prepare for Scenario-Based Questions
Expect questions that assess your ability to handle real-world compliance challenges. Think through potential scenarios related to regulatory changes or compliance breaches and how you would address them effectively.
