We’re seeking a future team member for the role of Senior Vice President, Compliance & Control - Trading Compliance Officer to join our Markets Compliance team primarily supporting trading with a particular focus on e-trading. The Trading Compliance Officer will report to the EMEA Head of Markets Compliance and will provide compliance advisory, oversight, and challenge across electronic trading activities, algorithmic trading controls, best execution, and regulatory reporting (TTR). This role is based in London.
In this role, you’ll make an impact in the following ways:
- To ensure that Markets meets the corporate requirements of the group as well as the strategic requirements of the Bank of New York within the specific remit for areas of responsibility.
- To ensure that the areas of responsibility of the role are running efficiently and effectively and in a controlled manner, including reflecting appropriate apportionment of responsibilities, segregation of duties and controls to prevent conflicts of interest.
- Responsible for working with business lines and business partner functions to review the impact of regulatory change and to participate in working groups as the Senior Compliance Specialist for Markets
- Engaging with the trading desks, technology, risk, legal, surveillance and operations teams to help ensure that e-trading activities are conducted in line with applicable laws, rules, regulations and internal policies.
- Working with other Compliance professionals across the broader EMEA Compliance team to ensure co-ordinated and complete delivery of services and effective communication of relevant information and observations.
- Engaging with the Markets business and compliance functions in the regional offices, US and APAC
- Responsible for recording and preparing escalation data, the provision of MI and notifications on Compliance issues impacting Markets in line with Group and local processes
- Proven ability to assess compliance implications of new products, venues, market structure development and trading technologies
- Markets Compliance function at relevant internal and external meetings where required
- Contribute to the development of projects and programs to improve compliance and enhance the control environment.
To be successful in this role, we’re seeking the following:
- Preferably degree education and/or industry qualifications
- Compliance experience, covering wholesale markets compliance, specifically FIEQ, FX and algorithmic trading
- Experience working in a compliance function within a large global organisation
- Ability to deliver multi-mode communications that convey a clear understanding of the unique needs of different audiences
- Detailed knowledge of FCA, MiFID, MIFIR, EMIR and MAR rules and regulatory requirements
- Thorough understanding of algorithmic and automated trading controls, including governance, deployment controls and change management.
#J-18808-Ljbffr