Job Description

Key Responsibilities

  • Provide advice to the markets business and senior stakeholders 
  • Act as the key contact point for any markets compliance matters 
  • Act as team lead on regulatory issues and help to implement proper policies and governance for the team and business
  • Keep up to date with any and all relevant regulatory changes 

Key Requirements

  • Comprehensive knowledge of Compliance policies relevant to assigned business areas
  • Detailed knowledge of Markets Products and the marketing and distribution of such products to institutional and intermediary counter parties targeting retail markets, knowledge of APAC regulation
  • Extensive experience of working in a Compliance Trading Floor environment
  • Strong track record of successful performance in Compliance in an investment bank or similar regulatory role at an investment exchange or financial regulator
  • Structured products and/or OTC derivatives experience is ideal, but those with equities, FI, or FX backgrounds can also be considered

If you would like to apply for this role or find out more, please contact Megan Craighead at Robert Walters on quoting the Job Reference QPD/. Find out more Legal & Compliance job opportunities or information, visit our website