Compliance Advisory – Equity Derivatives

26th January 2017
Job Type
£80,000 - £110,000


A position has arisen in the product compliance advisory team within the global markets division. The role is to provide advisory compliance coverage to the derivatives product area.

  • Providing advisory compliance support to the Equity Derivatives businesses; covering the OTC derivatives, structured retail products, fund-linked products and convertible bonds businesses. Examples of advisory matters include:
    • New business projects relating to specific transactions
    • Business specific initiatives such as new product launches
    • Participating in governance committees (Retail Product, Index, Pulse, BCRM)
    • Business catch ups with Senior Management (Trading, Sales, Fund Linked Products, COO
    • Personal Compliance obligations, including advice on the application of global compliance policies, exchange rules and regulations
  • Advising on new and existing products and all regulatory activities relating to product design and distribution specifically, retail and institutional product governance, inducements, conflicts of interest, distributor due diligence questionnaires
  • The review of product / service-related materials such as marketing materials, term sheets, presentations and product brochures and disclosures relating to inducements
  • Working with Legal, Compliance colleagues and other support staff across the region and in the other regions to advise on and address cross-jurisdictional compliance matters particularly Italy and France
  • Liaising with Core Compliance colleagues on ABC, Cross Border, Control Room (MNPI / restricted) Financial Crime matters
  • Reviewing regulatory changes affecting the Equity Derivative businesses, ensuring appropriate collaboration across General Counsel, Shared Services and the Business e.g. PRIIPS, MIFID 2, Benchmark Regulation, Complaints handling and assisting the business with implementing the new regulation in a robust and controlled manner
  • Identifying regulatory or reputational risks and escalating to management for resolution e.g. fee sharing arrangements with distributors
  • Acting as a challenge and control function to the Business on compliance related matters including  undertaking Compliance testing / quality assurance of certain processes and activities that pose risk which have been identified via the Compliance Risk Assessment or by the business
  • Assist in the preparation off / delivery of regulatory training to the business
  • Providing assistance in relation to control and regulatory incidents, Internal audits and reviews within the Business
  • Managing the complaints handling process covering the legacy Structured Retail Deposits business
  • Develop and maintain a close working relationship with relevant legal coverage staff
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