Compliance Officer - Equities

Competitive
Permanent
London
13 Nov 2018
BBBH708688

My client, a leading investment bank based in London, is looking for an Equities Compliance Officer to join the existing team based in London.

Compliance Officer - Equities My client, a leading investment bank based in London, is looking for an Equities Compliance Officer to join the existing team based in London. Responsibilities:

  • Provide regulatory compliance advice to senior stakeholders and traders, with a focus on equities
  • Advising the business on key regulatory changes, including mifid II, SMCR, market conduct regulations
  • Create, maintain and implement compliance policies throughout the business
  • Ensure delivery of the compliance surveillance and monitoring programme

Experience:

  • Currently holding a regulatory compliance position within a leading investment bank, broker or regulator
  • Experience of providing regulatory advice, with a focus on Equities
  • Prior or current knowledge of market conduct rules

Please contact Harry Rogers on: hrogers@morganmckinley.com for more details.

Morgan McKinley is acting as an Employment Agency in relation to this vacancy.

Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.

Leo Bellometti's picture
Senior Consultant | Compliance Recruitment
London +44 207 092 0044 | lbellometti@morganmckinley.co.uk