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    Senior Compliance Advisory Director - London, United Kingdom - Morgan McKinley

    Morgan McKinley
    Morgan McKinley London, United Kingdom

    1 week ago

    Default job background
    Description

    The Senior Advisory Compliance Officer will have responsibility for

    Read on to fully understand what this job requires in terms of skills and experience If you are a good match, make an application.

    Compliance activities relating to the FICC markets businesses focusing on our

    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.

    Internal

     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.

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