- JN -052023-1937990
- May 19, 2023
- £110k - £115k
Morgan McKinley are recruiting for a Senior Compliance Advisory Officer to join their advisory team covering the FICC markets
Morgan McKinley are recruiting for an international banking firm in the heart of The City. The role is being offered either on a permanent basis or a 12 month FTC with a view of temp to perm.
The Senior Advisory Compliance Officer will have responsibility for Compliance activities relating to the FICC markets businesses focusing on Fixed Income (Bonds and Derivatives) and FX desks and is therefore expected to be a product specialist. The role has two direct reports who will help with the coverage, get involved in specific initiatives and will also support the rest of the team.
- 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.
- Provide guidance to more junior members of the team and act as team lead for the public side business coverage.
- Build and maintain relationships with the business and supervisors, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence.
- Assess new business proposals versus pertinent laws and regulatory requirements including coordinating with global Advisory Compliance teams where required.
- Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory 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.
- Demonstrated relevant experience in the industry. Knowledgeable of regulations and industry best practices.
- Solid understanding of FICC markets, products and business practices, ideally with in depth knowledge of one or more areas of FX, Bonds or FI Derivatives.
- To be a self-starter who is able to identify potential areas of risk and be comfortable approaching the business to discuss as required.
- Knowledge of major industry regulations such as MiFID II, EMIR, MAR.
- Be familiar with relevant industry standards and statements of good practice, particularly the FX Global Code and relevant FMSB publications
If you feel this role is suited to you experience and you wish to apply, please email me your cv to me at
Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative. BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.