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- Tasks: Lead compliance efforts in a dynamic environment, providing expert advice on market regulations.
- Company: Join a global leader in financial services with a strong commitment to compliance and innovation.
- Benefits: Enjoy competitive pay, professional development opportunities, and a collaborative work culture.
- Why this job: Make an impact by shaping compliance strategies in a fast-paced, high-stakes industry.
- Qualifications: Must have knowledge of UK/EU regulations and experience in compliance or risk roles.
- Other info: This role requires a proactive mindset and the ability to work independently.
The predicted salary is between 43200 - 72000 £ per year.
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Markets Advisory Compliance Officer – Vice President, Greater London
Client: (Client Name)
Location: Greater London, United Kingdom
Job Category: Other
EU work permit required: Yes
Job Reference: abbe83f4e547
Job Views: 7
Posted: 03.03.2025
Expiry Date: 17.04.2025
Job Description:
With a diverse department of Compliance professionals supporting all lines of our business around the globe, the department is working diligently to present all business partners with innovative, thoughtful and tailored solutions to the challenges they face. The Compliance function has a strong culture focused on delivering first-class support to the business while providing a credible challenge where necessary. It seeks to promote best practice, foster employee development, and deliver the goals of the Firm-wide Risk organization.
As a Markets Advisory Compliance Officer – Vice President within the Compliance Advisory Team, you will act as a subject matter expert for regulations that apply to the Markets Line of Business, focusing on equity derivatives, benchmark administration, retail structured products, listed derivatives, and Asset Management.
Job Responsibilities:
- Provide credible, timely and risk-based advice, challenge and support on regulatory matters, including ‘live’ regulatory interpretations and decisions to the business in high profile and/or time-constrained situations.
- Provide leadership and compliance input to regulatory change management.
- Deliver timely and robustly documented input into business initiatives that is consistent with the firm’s regulatory and reputational risk tolerances – new product proposals, business reorganization, review of specific initiatives/transactions/structures to identify regulatory issues.
- Accommodate scheduled and ad-hoc training to the business.
- Run accurate and timely completion of monitoring activities.
- Identify, implement and review compliance policies, procedures & additional documentation as may be required.
- Prepare materials and act as compliance representative at business forums.
Required qualifications, capabilities, and skills:
- Familiarity with market structures and products – ideally exposure to at least some of the coverage areas listed above.
- Knowledge of the UK and EU regulatory framework as applicable to the coverage areas (MiFID II, MAR, and PRIIPs), and recent regulatory developments (Consumer Duty, Retail Investment Strategy).
- Able to work independently and have sufficient experience to know when to escalate an issue is essential.
- Possess a high level of attention to detail and focus on the quality of their work product.
- Being proactive, able to think critically about the information presented to them, comfortable with subjective situations, and ready to ask appropriate questions and effectively challenge.
- Good team player and will be expected to provide cross coverage of other areas.
Preferred qualifications, capabilities, and skills:
- Relevant experience of performing a Compliance, Risk, or Control role in a global investment bank would be a significant advantage.
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Markets Advisory Compliance Officer – Vice President, Greater London employer: TN United Kingdom
Contact Detail:
TN United Kingdom Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Markets Advisory Compliance Officer – Vice President, Greater London
✨Tip Number 1
Familiarize yourself with the specific regulations mentioned in the job description, such as MiFID II, MAR, and PRIIPs. Understanding these frameworks will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in global investment banks. Engaging with them can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Stay updated on recent regulatory developments like the Consumer Duty and Retail Investment Strategy. Being knowledgeable about current trends will show that you are proactive and well-informed.
✨Tip Number 4
Prepare to discuss specific scenarios where you've provided compliance advice or managed regulatory challenges. Real-life examples will illustrate your expertise and problem-solving skills effectively.
We think you need these skills to ace Markets Advisory Compliance Officer – Vice President, Greater London
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly read the job description for the Markets Advisory Compliance Officer position. Understand the key responsibilities and required qualifications, as this will help you tailor your application effectively.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in compliance, risk, or control roles, especially within a global investment bank. Make sure to mention any familiarity with market structures and products relevant to the position.
Showcase Regulatory Knowledge: Demonstrate your knowledge of the UK and EU regulatory frameworks, particularly MiFID II, MAR, and PRIIPs. Include specific examples of how you've applied this knowledge in previous roles to provide credible advice and support.
Tailor Your Application: Customize your cover letter to reflect your understanding of the company's culture and the specific challenges they face in compliance. Use language that aligns with the job description to show that you are a good fit for their team.
How to prepare for a job interview at TN United Kingdom
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of the UK and EU regulatory frameworks, especially MiFID II, MAR, and PRIIPs. Be prepared to discuss recent regulatory developments like Consumer Duty and Retail Investment Strategy, as these are crucial for the role.
✨Demonstrate Subject Matter Expertise
Showcase your knowledge in equity derivatives, benchmark administration, and retail structured products. Prepare examples from your past experience where you provided credible advice on regulatory matters, especially in high-pressure situations.
✨Highlight Your Attention to Detail
Since this role requires a high level of attention to detail, be ready to discuss how you ensure quality in your work. You might want to share specific instances where your meticulousness led to successful outcomes or prevented potential issues.
✨Emphasize Team Collaboration
As a good team player, it's important to convey your ability to work collaboratively across different areas. Prepare to discuss how you've successfully worked with others in compliance or risk roles, and how you can provide cross-coverage effectively.
