We are a diverse and global organization searching for innovative, control minded individuals looking to join our growing team. 

As a Markets Compliance Officer - Associate within Markets Compliance team you will have an advisory role covering Markets activities in various forms across all developed and emerging market EMEA jurisdictions. 

Job responsibilities

Provision of real-team advice and support on regulatory matters to the EMEA Markets businesses (with a focus on Equity Derivatives, Global Clearing, listed derivatives and cash equities) Conduct monitoring activities across a range of topics and business lines Prepare and collate Global Compliance reports to governance forums Review Surveillance alerts and determining how they should be dispositioned Review exchange circulars, identifying and summarizing key points Prepare and providing training to the business including coordinating annual refresher training Represent Markets Compliance in regional and global Compliance working groups Analyse of proposed regulatory changes, respond to exchange queries, identify and escalate any control gaps/issues Support global and legal entity specific Risk Assessment from a Compliance perspective  Respond to business queries, conduct review of intermediary due diligence and financial promotions  Provide real-time interpretation of internal Compliance policies and procedures in response to ad hoc enquiries from front and middle office

 

Required qualifications, capabilities, and skills

 

Strong academic background or work achievements in the financial industry Some knowledge of Markets’ products, ideally listed derivatives, OTC Equity Derivatives, and/or retail structured products Knowledge of applicable rules including MiFID II, EMIR, MAR and PRIIPs Good attention to detail Excellent client handling skills, a self-confident and proactive approach to their work and a desire to work at the forefront of an equity business widely recognized as one of the leading players in this market. Strong interpersonal, verbal and written communication and presentation skills in English  Strong team player willing to work closely across and with multiple teams where inter-dependencies will be strong and ongoing can do attitude with a willingness to help others in the team and external to the team Strong analytical skills and ability to understand and interpret requirements

Preferred qualifications, capabilities, and skills

Compliance experience gained within a similar Compliance environment, relevant experience of performing a Compliance, Risk or Control role in an investment bank Good German language skills