Equity Compliance Officer
London, United Kingdom

Job Information
Salary: 40000 - 65000 pa
Position Type: Permanent
Ref:

Job Description
Equity Compliance Officer

The successful candidate should be able to work in a hectic environment yet be precise and accurate, and at the same time can prioritise deadlines in a dynamic environment.

Principal Responsibilities
•Provide advice on sales and trading practices within business unit.
•Assist division in determining risk and compliance impact on new business ventures / particular deal structures.
•Monitoring changes to rules and regulations and ensuring changes are appropriately communicated and implemented within business unit including liaising with relevant technology departments.
•Liaise with regulators and exchanges on enquiries regarding trading and trade and transaction reporting.
•Develop and update internal compliance policies and procedures.
•Develop and deliver training materials as part of ongoing Compliance training program.
•Monitoring of trading activities for compliance with applicable rules, regulations, policies and procedures.


Experience/Skills
•Degree level
•Experience with Cash Equity and Equity Derivative products.
•Familiarity with applicable regulatory and exchange rules.
•Pro-active, self-motivated, assertive and well organised.
•Ability to work independently, but still be a strong team player.
•Forward looking, focused on streamlining processes and increasing efficiency.
•Flexibility and ability to multi-task
•Hands on, proactive approach to problem solving.
•Ability to resolve conflict and deal with confrontation.
•Well developed organisational and project management skills.

How to apply for this job:
Email your CV to: corpgov@hgmgroup.com

Contact Name: Jennie McGuire
Company/Organization: hgmgroup.com
Telephone: 020 7871 7308
Ad Ref: 60385