Equities compliance - VP

An international financial services firm is looking for an experienced equities compliance professional to join its growing market compliance team.

My client is looking for an experienced Equities Compliance Officer to support their markets business, primarily focusing on Equities Sales and Trading as well as the electronic trading project.

Key Responsibilities:

• Support the Compliance Director in managing the company’s compliance with applicable laws, regulations, and internal policies.
• Assist the Compliance Director 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.
• Provide leadership and support to other members of the Compliance Department as needed.

Qualifications:

• Degree or professional qualification in accounting, business, law, or a related field.
• Minimum of 8 years’ experience in compliance, audit, or operational risk, with specific market compliance experience.
• Strong knowledge of relevant regulatory frameworks and requirements.
• Excellent communication skills with the ability to positively influence senior management.
• Strong judgement and effective problem-solving skills; results-oriented to ensure sound implementation of control and compliance processes and procedures.