Robert Walters
Compliance Advisory, SVP
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Company Overview
A leading banking group with an integrated network across key markets. The company serves individuals, institutions, corporates, and governments through its core business divisions, including wealth management, investment management, global markets, and banking. With a workforce of thousands worldwide, the firm is committed to delivering client-centric solutions and maintaining high standards of integrity and professionalism.
Department Overview
The Compliance department plays a critical role in ensuring regulatory adherence and upholding ethical standards across the organization. The team works closely with business units to align operations with industry regulations and internal policies. This is a trading floor-based role that offers the opportunity to contribute to a culture of compliance and trust.
Role Description
Reporting to a senior member of the Compliance Advisory team, this position involves:
- Providing compliance coverage and day-to-day regulatory advice to macro markets businesses, addressing transactional and operational issues as they arise.
- Supporting broader compliance efforts across fixed income trading floors, including FX, rates, credit, equity, prime brokerage, and structured products.
- Acting as a key stakeholder for applicable regulations (e.g., MiFID, MAR, Short Selling).
- Monitoring regulatory changes affecting the business and briefing senior management on their impact.
- Participating in regulatory projects to ensure efficient implementation of new requirements.
- Handling internal and external inquiries from venues/exchanges or regulators.
- Delivering regular and ad hoc training sessions to business teams.
- Preparing management information reports related to compliance activities.
- Conducting monitoring reviews to ensure adherence to policies and procedures.
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Skills, Experience, Qualifications Required
- Strong knowledge of rules and regulations relevant to global markets businesses (UK/EU/cross-border).
- Previous experience in a trading floor or business-facing compliance role is essential.
- Familiarity with swaps regulations (e.g., Dodd-Frank) is beneficial but not mandatory.
- Ability to work under pressure and manage multiple tasks effectively.
- Excellent problem-solving skills and attention to detail.
- Strong verbal and written communication skills for interaction with sales/trading desks and corporate support functions.
- Well-developed analytical skills for distilling complex information into actionable insights.
- Effective organizational skills with the ability to meet tight deadlines.
- Collaborative team player with strong stakeholder management capabilities across various levels of the organization.
Leadership Behaviors
Candidates should demonstrate:
- Strategic Thinking: Ability to identify underlying challenges and define clear solutions or directions for improvement.
- Decision-Making: Prioritizing actions effectively based on available options and data analysis.
- Team Leadership: Inspiring colleagues through effective communication while fostering productivity within the team environment.
- Continuous Improvement: Proactively engaging in professional development while promoting knowledge sharing across teams.
- Inclusion & Risk Awareness: Respecting diversity, equity, inclusion (DEI), fostering psychological safety in the workplace, and cultivating a "Risk Culture" that encourages challenge, escalation, and respect.
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Right to Work
Applicants must have the legal right to work in the UK or meet visa sponsorship requirements under current government guidelines for skilled workers.
Diversity & Inclusion Statement
The organization is committed to creating an inclusive environment that reflects the diversity of its communities while providing equal opportunities for all employees regardless of age, disability, gender identity/expression, race, religion/belief, sex, sexual orientation, or other protected characteristics.
If you require reasonable adjustments due to a disability or long-term health condition during the application process or employment period, please reach out for assistance.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates.
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