Equities compliance - AVP

An international financial institution is seeking a compliance candidate to join its market compliance team.

Key Responsibilities:

• Support the senior in managing the company’s compliance with applicable laws, regulations, and internal policies.
• Assist the senior with audit-related matters.
• Identify, assess, and implement regulatory changes impacting the Markets business.
• Lead in-depth reviews to develop thematic insights and share value-driven outputs with the business, enhancing risk management maturity and improving control environments.
• Provide timely and high-quality advisory support to internal business stakeholders.
• Contribute to new business initiatives and licensing requirements.
• Deliver coherent and consistent compliance advice, interpretations, and recommendations on regulations, policies, products, and business initiatives; clarify and resolve uncertainties in rules and regulations affecting business transactions and practices.
• Establish, review, and update internal rules, policies, and guidelines to align with best regulatory and industry practices.
• Liaise with regulators to resolve regulatory concerns and coordinate regulatory inspections.

Qualifications:

• Degree or professional qualification in accounting, business, law, or a related field.
• Minimum of 5 years’ experience in compliance, open to candidates without market compliance experience.
• Excellent writing skills and strong organisational skills.
• Excellent communication skills with the ability to positively influence senior management.
• Strong judgment and effective problem-solving skills; results-oriented to ensure sound implementation of control and compliance processes and procedures.