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Compliance Advisory - Fixed Income (VP)

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Compliance Advisory - Fixed Income Location: London Keywords: Compliance, Advisory, Fixed Income, Regulatory, Policies, Procedures, Risk Assessment Our client is seeking a dedicated and experienced Compliance Advisory professional in the field of Fixed Income. This role offers an exciting opportunity to work within a dynamic team, providing day-to-day compliance support, guidance, and advice. The successful candidate will play a key role in managing compliance risk, identifying regulatory trends, and implementing necessary policy changes. This role is perfect for someone who thrives in a collaborative environment and has a strong desire to achieve quality results. * Opportunity to work within a dynamic Compliance Advisory team * Key role in managing compliance risk and implementing policy changes * Collaborative working environment with a focus on achieving quality results

What you'll do:

As a Compliance Advisory - Fixed Income, you will be at the heart of our client's operations. You will work collaboratively within the team primarily to support the business by providing day-to-day Compliance support, guidance, and advice. Your role will involve identifying regulatory trends and developments, advising the business on how these may impact their current activities, and working with them to implement necessary policy changes. You will also play a crucial part in managing Compliance risk by identifying potential weaknesses in activities, conduct or controls. Your ability to collaborate closely with colleagues on regulatory implementation projects will be key to your success.

  • Provide day-to-day Compliance support, guidance and advice to the business
  • Identify regulatory trends and developments and advise the business on potential impacts
  • Create, implement and maintain Compliance-owned policies and procedures
  • Manage Compliance risk by identifying problems and potential weaknesses in activities, conduct or controls
  • Perform ongoing Compliance risk assessments and monitor business activity in accordance with the Compliance Monitoring Plan
  • Collaborate closely with Compliance colleagues and business management on regulatory implementation projects
  • Assist in providing new joiner and annual training on compliance risks, regulatory and conduct matters

What you bring:

The ideal candidate for the role of Compliance Advisory - Fixed Income brings a wealth of experience from previous roles within Compliance markets advisory/ surveillance or other regulatory roles. You will have a good understanding of key PRA/ FCA rules, key UK and EU regulations, Money Laundering Regulations and industry best practice. Your familiarity with Fixed Income products will be crucial in this role. Your strong numerical and analytical skills will be put to good use as you manage your own time, meet deadlines, problem solve, innovate and support change. Your confidence and professionalism in all dealings with business personnel and senior management will set you apart.

  • Previous experience within Compliance markets advisory/ surveillance or other regulatory role
  • Good understanding of key PRA/ FCA rules, key UK and EU regulations (MiFID II; MAR; EMIR), Money Laundering Regulations and industry best practice (e.g. Global FX Code; UK Money Markets Code)
  • Familiarity with Fixed Income (including FX, Credit and Rates) products
  • Strong numerical and analytical skills
  • Proven ability to manage own time and meet deadlines, problem solve, innovate and support change
  • Confidence and professionalism in all dealings with business personnel and senior management

What sets this company apart:

Our client is committed to supporting equality, diversity and inclusivity, striving to create a workplace that is fully inclusive. They welcome applications from all sections of the community they operate in and from all ethnic backgrounds, sexual orientation, beliefs, gender identities and disabilities. They embrace flexible ways of working when the role permits, offering different working arrangements like part-time, job-sharing and hybrid (office and home) working. Their purpose-led culture and global infrastructure help them connect, collaborate, and work together in agile ways to meet all their business needs.

What's next:

Please apply or reach out directly to emily.hamburg@robertwalters.com

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Financial Services

Salary: £100,000 - £120,000 per annum

Workplace Type: Hybrid

Experience Level: Mid Management

Location: City of London

Job Reference: XCVEV6-5693F233

Date posted: 28 May 2024

Consultant: Emily Hamburg

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