The Senior Advisory Compliance Officer (VP) will have responsibility for
Compliance activities relating to the FICC markets businesses focusing on
Commodities and Fixed Income or FX and is therefore expected to be a
product specialist.
Good understanding of the Based and Precious Metals business,
including LME and LBMA requirements. Ideally additional
understanding of Fixed Income or FX products.
Quickly build an understanding of the business lines, including
booking models, products, transaction types and nature of business,
covering and providing advice to multiple trading and sales desks.
Build and maintain relationships with the business, as well as support
and control functions. Be able to manage those relationships in a
professional manner to maintain Compliance independence.
Provide guidance to more junior members of the team.
Assess new business proposals versus pertinent laws, regulatory
requirements and exchange rules including coordinating with global
Advisory Compliance teams where required.
Advise the business and other internal stakeholders regarding
interpretation and implementation of new regulatory
Internal
developments/requirements.
Provide real-time advice to the business regarding proposed
transactions in a timely manner.
Assist internal stakeholders where required with product and/or
market expertise, such as Trade Surveillance, Risk, Internal Audit,
Operational Risk, Operations.
Create and deliver training to the business and other functions as
required, covering topics such as market abuse, trading venue rules
and other topics pertinent to specific business lines.
Creation and review of Advisory Compliance policies and procedures.
Review escalations of potential market abuse from internal trade
surveillance partners, the business and others. Provide analysis and
reasoning to senior management as required to assist in escalation
decision making, including preparation for potential STOR
submissions.
Assist with responding to any relevant regulatory requests.