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Compliance Officer

Job Description
Our client, a leading Securities House is looking for an experienced Compliance Officer to join their burgeoning team. Coming form a large bank or mid sized but well regarded Securites house, the successful candidate will have a good degree and be FSA approved.

Responsibilities



* To be a primary point of contact for all Fixed Income regulatory issues.
* To assist in the development, maintenance and implementation of a risk assessment framework and corresponding compliance monitoring programme for Fixed Income products.
* To maintain an advisory relationship with all Fixed Income staff for regulatory issues.
* To develop and deliver Fixed Income regulatory training as appropriate to all Fixed Income staff.
* To assist in the development of compliance controls covering all aspects of the firm’s Fixed Income activities.
* To complete ad hoc project work in line with regulatory or internal changes where directed.





Role Profile



· Risk Awareness – To ensure that a regulatory risk framework and corresponding monitoring programme, which is relevant to all the firm’s ongoing regulatory requirements, is maintained and delivered.



· Product Knowledge – To understand relevant regulatory requirements in relation to all Fixed Income products including UK and International Government Bonds, High Yield products, and Asset Backed Securities.



· Jurisdictional knowledge – To understand relevant regulatory requirements in relation to Fixed Income products in the UK, Europe and the US.



· Initiative and Organisation – To understand changes to the business and to new regulations, and ensure that the regulatory policies, procedures and projects in relation to Fixed Income products within the firm react to these changes.







Technical/Business Skills



· Over 5 years Compliance experience within a Fixed Income environment

· Knowledge of Fixed Income secondary sales, trading and

· Knowledge of Corporate Finance regulatory requirements in relation to Debt markets

· Excellent IT skills

· Written and Verbal Communication skills

· Provide intuitive and concise management advice

· Ability to work under pressure

· Ability to develop strong working relationships with senior management





Educational and Professional Qualifications



· Degree educated

· Securities Institute qualifications or equivalent

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