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        • london, london
        • contract
        • competitive
        • full-time
        Compliance Manager, Equities Advisory ComplianceDepartment: Capital Markets, London CompliancePURPOSE:To protect the brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:* aligning regulatory priorities with the Business;* creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;* establishing and maintaining a strong, effective control environment; and* identifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Compliance Manager within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following London businesses: Global Equities including Global Equity DerivativesResponsibilities include:* advising senior business management on policies and regulatory matters;* Compliance contact for transactional and regulatory queries;* undertaking regulatory/legislative research in respect of matters impacting the business;* assisting the Compliance department with implementing key regulatory initiatives;* accountable for maintaining the Regulatory Compliance Management documentation for the Global Equities business lines;* advising on existing and future UK and EU legislation/ regulatory and industry rules likely to affect the London businesses;* drafting appropriate Compliance communications;* providing pro-active and timely advice on regulatory and firm policy requirements;* conducting product research driven by new product/business initiatives;* reviewing and drafting appropriate regulatory assessments for the New Business Committee proposals within coverage;* undertaking ad hoc Compliance monitoring reviews;* devising Compliance policies, procedures and processes to enable business units to comply with current regulatory and firm policy requirements;* proactive identification of issues impacting coverage areas through participation in business, industry and regulatory initiatives;* devising and delivering appropriate training and other forms of communication and monitoring adherence to such training and communications;* resolve Compliance/regulatory issues identified from surveillance and other oversight functions, e.g. Internal Audit;* collating and producing the quarterly Board and Committee Reports in a timely manner;* advising and assisting Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to global initiatives/projects;* working with Group Law functions in London and advise on regulatory matters affecting businesses comprising primary areas of responsibility; and* assisting Compliance Monitoring with devising appropriate regulatory desk monitoring programmes.RESULTS EXPECTED & EVALUATED* Timely and technically accurate advice.* Completion of compliance guidance, policies and procedures (where the need for such communication has been identified).* Creation and delivery of appropriate training modules to front office staff (where the need for such training has been identified).* Completed desk monitoring reviews as required.KEY RELATIONSHIPS* Head of Capital Markets Compliance Europe* Senior Officers and Business Heads UK* Compliance colleaguesJOB SPECIFICATIONS:* Excellent written and verbal communication skills;* Knowledge of primary and secondary UK financial services legislation;* Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;* Good knowledge of products traded in Global Markets;* Ability to draft clear and technically accurate regulatory guidance, policies and procedures;* Ability to assist in devising appropriate compliance desk monitoring programmes;* Ability to articulate regulatory issues to key relationship contacts;* Ability to assist with ad hoc internal regulatory investigations; and* Ability to maintain the confidentiality of sensitive information.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        Compliance Manager, Equities Advisory ComplianceDepartment: Capital Markets, London CompliancePURPOSE:To protect the brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:* aligning regulatory priorities with the Business;* creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;* establishing and maintaining a strong, effective control environment; and* identifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Compliance Manager within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following London businesses: Global Equities including Global Equity DerivativesResponsibilities include:* advising senior business management on policies and regulatory matters;* Compliance contact for transactional and regulatory queries;* undertaking regulatory/legislative research in respect of matters impacting the business;* assisting the Compliance department with implementing key regulatory initiatives;* accountable for maintaining the Regulatory Compliance Management documentation for the Global Equities business lines;* advising on existing and future UK and EU legislation/ regulatory and industry rules likely to affect the London businesses;* drafting appropriate Compliance communications;* providing pro-active and timely advice on regulatory and firm policy requirements;* conducting product research driven by new product/business initiatives;* reviewing and drafting appropriate regulatory assessments for the New Business Committee proposals within coverage;* undertaking ad hoc Compliance monitoring reviews;* devising Compliance policies, procedures and processes to enable business units to comply with current regulatory and firm policy requirements;* proactive identification of issues impacting coverage areas through participation in business, industry and regulatory initiatives;* devising and delivering appropriate training and other forms of communication and monitoring adherence to such training and communications;* resolve Compliance/regulatory issues identified from surveillance and other oversight functions, e.g. Internal Audit;* collating and producing the quarterly Board and Committee Reports in a timely manner;* advising and assisting Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to global initiatives/projects;* working with Group Law functions in London and advise on regulatory matters affecting businesses comprising primary areas of responsibility; and* assisting Compliance Monitoring with devising appropriate regulatory desk monitoring programmes.RESULTS EXPECTED & EVALUATED* Timely and technically accurate advice.* Completion of compliance guidance, policies and procedures (where the need for such communication has been identified).* Creation and delivery of appropriate training modules to front office staff (where the need for such training has been identified).* Completed desk monitoring reviews as required.KEY RELATIONSHIPS* Head of Capital Markets Compliance Europe* Senior Officers and Business Heads UK* Compliance colleaguesJOB SPECIFICATIONS:* Excellent written and verbal communication skills;* Knowledge of primary and secondary UK financial services legislation;* Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;* Good knowledge of products traded in Global Markets;* Ability to draft clear and technically accurate regulatory guidance, policies and procedures;* Ability to assist in devising appropriate compliance desk monitoring programmes;* Ability to articulate regulatory issues to key relationship contacts;* Ability to assist with ad hoc internal regulatory investigations; and* Ability to maintain the confidentiality of sensitive information.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        • city of london, london
        • temporary
        • £375 - £415 per day
        • full-time
        Currently there is an exciting opportunity for a hands-on experienced individual with detailed knowledge of Euro Clearing, Liquidity Management & Cash Management. The candidate must also have detailed knowledge of intraday liquidity and be able to support post trade functions associated with securities settlement.Key responsibilities of the role will include: Supporting the funding across the firms account network. To be the central point of contact for the cash management of all nostro accounts on a daily basisReconciliation of Intellimatch for cash funding breaks , narrating and updating, escalating accordinglyMinimisation of operational risk of the group, maintaining control over processes and challenging continuallyEnsure desk procedures are kept up to date and explore efficiency improvementsMinimise the operational risk associated with the role, working on ad-hoc projects with internal stakeholdersLiaise with the business and other support groupsPrimary responsibility for identifying and understanding intraday liquidity risk on a day to day basis; and where relevant to mitigate intraday provisionIdentification of nostro agent data quality issues preventing accurate real time positions from being obtained intradayLiaison with nostro agents to resolve identified issues including intraday v statement referencing differences preventing automating in the reconciliation processRaises issues to Operations Senior Management as well as to Treasury and Liquidity Risk ManagementPost trade settlement engagement with the business and customers to support aged fails Necessary experience needed for this role will include: Financial markets, Euro Clearing, Liquidity Management and Cash funding experience predominantly based within top tier firmsExperience managing a strategic real time messaging system with associated real time database and extensive experience resolving live production issuesKnowledge of Intraday Liquidity Management stress testing models and relevant data pointsDetailed understanding of the requirements associated with nostro cash funding.Experience of Cash Clearing Systems such as TARGET2, EBA, CHAPS, FedwireKnowledge of the mechanics associated with Securities SettlementsKnowledge of forward cash ladders and reconciliation systemsKnowledge of SWIFT payment systems and connectivity to a Cash & Liquidity Management applicationKnowledge of SWIFT MT 103, 202, 210, 900, 910, 940, 942, 950, 545, 547 messaging standardsUnderstands the operational risk framework and is acutely aware of the Front Office environment at play and how the team function complements itExperience of Euclid/Easyway and SWIFT, in addition Gloss, Murex and Intellimatch experience would be usefulSmartStream Intra-Day Liquidity Module knowledge and post settlement Claims / Investigations preferableNetwork management experience is also preferableProduct understanding of Finance and Outright business If you have similar experience to that outlined above and are looking for an opportunity within a progressive and dynamic environment, please forward your CV today.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        Currently there is an exciting opportunity for a hands-on experienced individual with detailed knowledge of Euro Clearing, Liquidity Management & Cash Management. The candidate must also have detailed knowledge of intraday liquidity and be able to support post trade functions associated with securities settlement.Key responsibilities of the role will include: Supporting the funding across the firms account network. To be the central point of contact for the cash management of all nostro accounts on a daily basisReconciliation of Intellimatch for cash funding breaks , narrating and updating, escalating accordinglyMinimisation of operational risk of the group, maintaining control over processes and challenging continuallyEnsure desk procedures are kept up to date and explore efficiency improvementsMinimise the operational risk associated with the role, working on ad-hoc projects with internal stakeholdersLiaise with the business and other support groupsPrimary responsibility for identifying and understanding intraday liquidity risk on a day to day basis; and where relevant to mitigate intraday provisionIdentification of nostro agent data quality issues preventing accurate real time positions from being obtained intradayLiaison with nostro agents to resolve identified issues including intraday v statement referencing differences preventing automating in the reconciliation processRaises issues to Operations Senior Management as well as to Treasury and Liquidity Risk ManagementPost trade settlement engagement with the business and customers to support aged fails Necessary experience needed for this role will include: Financial markets, Euro Clearing, Liquidity Management and Cash funding experience predominantly based within top tier firmsExperience managing a strategic real time messaging system with associated real time database and extensive experience resolving live production issuesKnowledge of Intraday Liquidity Management stress testing models and relevant data pointsDetailed understanding of the requirements associated with nostro cash funding.Experience of Cash Clearing Systems such as TARGET2, EBA, CHAPS, FedwireKnowledge of the mechanics associated with Securities SettlementsKnowledge of forward cash ladders and reconciliation systemsKnowledge of SWIFT payment systems and connectivity to a Cash & Liquidity Management applicationKnowledge of SWIFT MT 103, 202, 210, 900, 910, 940, 942, 950, 545, 547 messaging standardsUnderstands the operational risk framework and is acutely aware of the Front Office environment at play and how the team function complements itExperience of Euclid/Easyway and SWIFT, in addition Gloss, Murex and Intellimatch experience would be usefulSmartStream Intra-Day Liquidity Module knowledge and post settlement Claims / Investigations preferableNetwork management experience is also preferableProduct understanding of Finance and Outright business If you have similar experience to that outlined above and are looking for an opportunity within a progressive and dynamic environment, please forward your CV today.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        • city of london, london
        • contract
        • £500 - £600 per year
        • full-time
        Business Analyst - FX (Inside IR35) - 6 month contract Purpose of the roleResponsible for working with key stakeholders within the Electronic Trading Product team to define detailed solution design and business requirements. Responsibilities:Work with Product Managers, business SMEs, clients and other stakeholders to create detailed business requirements and define functional requirements including constructing data models, workflow charts, report specifications, diagrams and screen mockupsWork closely with the development and QA teams to ensure requirements are clear to all partiesDocumentation of critical information shared during strategy, design, development, and release meetingsAdministration of system documentation including product development schedules, release schedules & bug trackingMonitor project progress by tracking activity, resolving problems, publishing progress reports, and recommending actionsMaintain system protocols by writing and updating internal and external release notes as well as internal training and process materialsCommunicate and collaborate effectively with many different team members across the business and technology areasFacilitate and perform reviews of the product to ensure key business needs are sufficiently met and that there is consistency in the UI design across the platformEnsuring that when features are delivered they meet the requirements Experience required:Direct experience in the electronic trading of financial instruments, including but not limited to FX, Money Markets, Futures or EquitiesExperience with big data systems5+ years of business analysis, project management or product management experienceKnowledge and understanding of trading API protocols including FIX and experience in implementing API-based solutionsExperience with MiFID II or other regulatory requirementsFinancial services industry experience, specifically with electronic trading of FX or other asset classesElectronic Trading System Workflow and User Experience design experienceDetail oriented and self-motivated If you have similar experience working as a Business Analyst within Electronic Trading with the experience listed above, please forward your CV today. Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        Business Analyst - FX (Inside IR35) - 6 month contract Purpose of the roleResponsible for working with key stakeholders within the Electronic Trading Product team to define detailed solution design and business requirements. Responsibilities:Work with Product Managers, business SMEs, clients and other stakeholders to create detailed business requirements and define functional requirements including constructing data models, workflow charts, report specifications, diagrams and screen mockupsWork closely with the development and QA teams to ensure requirements are clear to all partiesDocumentation of critical information shared during strategy, design, development, and release meetingsAdministration of system documentation including product development schedules, release schedules & bug trackingMonitor project progress by tracking activity, resolving problems, publishing progress reports, and recommending actionsMaintain system protocols by writing and updating internal and external release notes as well as internal training and process materialsCommunicate and collaborate effectively with many different team members across the business and technology areasFacilitate and perform reviews of the product to ensure key business needs are sufficiently met and that there is consistency in the UI design across the platformEnsuring that when features are delivered they meet the requirements Experience required:Direct experience in the electronic trading of financial instruments, including but not limited to FX, Money Markets, Futures or EquitiesExperience with big data systems5+ years of business analysis, project management or product management experienceKnowledge and understanding of trading API protocols including FIX and experience in implementing API-based solutionsExperience with MiFID II or other regulatory requirementsFinancial services industry experience, specifically with electronic trading of FX or other asset classesElectronic Trading System Workflow and User Experience design experienceDetail oriented and self-motivated If you have similar experience working as a Business Analyst within Electronic Trading with the experience listed above, please forward your CV today. Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        • city of london, london
        • temporary
        • £250 - £300 per day
        • full-time
        The candidate will be responsible for processing the Margin Exposure across all asset classes (OTC, Repo and SBL) by calling counterparts where the bank is exposed and meeting counterparts calls. This role will initially be specific cover for SecLending and Repo margin with the opportunity to cross train in the OTC margin space. Key responsibilities of the role will include: Ensure all margin bookings are correctly reflected in key systems (Algo, Murex, Apex) for agreed settlement.Timely resolution of any resulting Nostro breaks.Ensure the CTD collateral is used in conjunction with TRY/RPG.Processing daily VM and IM OTC margin calls using TLM/Sentry/AlgoMonthly settlement of interest on cash marginEnsure that all margin bookings are accurate and settle as agreed within currency/settlement cut-offs.A working knowledge of ISDA/CSA documentation and how these impact the collateral Management processTo ensure that procedures are kept up to date and that improvements are made when necessary in an effort to improve efficiency across the departmentTo liaise with traders, Legal, other support areas and counterparties, and strive to ensure maximum internal and external client satisfactionNecessary experience needed for this role will include: 3 years financial markets experience predominantly based within top tier firms' Fixed Income (including OTC), Clearing and Collateral environments.Understanding of OTC margin/collateral processes and collateral portfolio reconciliation using TriResolve.Strong working knowledge of OTC Derivatives products, being able to understand and unravel complex trading that can impact the margin call processGood working knowledge of Acadiasoft solutions; Exposure Manager/MarginSphereStrategies involving bespoke collateral management processesA good understanding of the regulatory environment that impacts collateral management. Especially, having exposure to Dodd-Frank and EMIR uncleared margin rulesDesirable experience:Good understanding of SBL (Securities, Borrowing & Lending) and Repo processesUnderstanding of life-cycle of trade processing for Equity and Fixed Income products including trade capture, settlement and reconciliations for Securities Lending transactions.Use of third party platforms such as Pirum, Equilend etc for automated cash mark processing Understanding of the GMSLA/GMRAExperience of using TLM/Sentry/Algo, Sungard Apex, SWIFT, Intellimatch If you have similar experience to that outlined above and are looking for an opportunity within a progressive and dynamic environment, please forward your CV today. Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        The candidate will be responsible for processing the Margin Exposure across all asset classes (OTC, Repo and SBL) by calling counterparts where the bank is exposed and meeting counterparts calls. This role will initially be specific cover for SecLending and Repo margin with the opportunity to cross train in the OTC margin space. Key responsibilities of the role will include: Ensure all margin bookings are correctly reflected in key systems (Algo, Murex, Apex) for agreed settlement.Timely resolution of any resulting Nostro breaks.Ensure the CTD collateral is used in conjunction with TRY/RPG.Processing daily VM and IM OTC margin calls using TLM/Sentry/AlgoMonthly settlement of interest on cash marginEnsure that all margin bookings are accurate and settle as agreed within currency/settlement cut-offs.A working knowledge of ISDA/CSA documentation and how these impact the collateral Management processTo ensure that procedures are kept up to date and that improvements are made when necessary in an effort to improve efficiency across the departmentTo liaise with traders, Legal, other support areas and counterparties, and strive to ensure maximum internal and external client satisfactionNecessary experience needed for this role will include: 3 years financial markets experience predominantly based within top tier firms' Fixed Income (including OTC), Clearing and Collateral environments.Understanding of OTC margin/collateral processes and collateral portfolio reconciliation using TriResolve.Strong working knowledge of OTC Derivatives products, being able to understand and unravel complex trading that can impact the margin call processGood working knowledge of Acadiasoft solutions; Exposure Manager/MarginSphereStrategies involving bespoke collateral management processesA good understanding of the regulatory environment that impacts collateral management. Especially, having exposure to Dodd-Frank and EMIR uncleared margin rulesDesirable experience:Good understanding of SBL (Securities, Borrowing & Lending) and Repo processesUnderstanding of life-cycle of trade processing for Equity and Fixed Income products including trade capture, settlement and reconciliations for Securities Lending transactions.Use of third party platforms such as Pirum, Equilend etc for automated cash mark processing Understanding of the GMSLA/GMRAExperience of using TLM/Sentry/Algo, Sungard Apex, SWIFT, Intellimatch If you have similar experience to that outlined above and are looking for an opportunity within a progressive and dynamic environment, please forward your CV today. Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        • city of london, london
        • temporary
        • £250 - £300 per day
        • full-time
        Key responsibilities of the role will include: Daily Monitoring of Transaction Reporting flows across multiple regimes (MiFID II / EMIR / CFTC/ Front Office supervision)Daily Resolution of rejections and failures including raising change requests for systemsReconciliations between source systems and TR / ARMProduction of MIS and Dashboard ReportingMaintaining issues logsReporting of potential regulatory breeches to internal departmentsSupport the Daily testing requirements for Transaction ReportingValidate the field population in line with the Regulator's requirementsReview message flow within MUSE systems and confirm correctness of message enrichmentReview successful submissions to Trade Repository and validate to source booking Necessary experience needed for this role will include:3 years OTC Derivative Middle Office / trade support or Drafting OTC Confirmation experienceSignificant exposure to all OTC Derivative productsExtensive knowledge of EMIR regulatory reportingKnowledge of FpML/ XML / MAML message structureExtensive knowledge of DTCC TRMUREX user experienceProficient with core Microsoft desktop softwareWorking knowledge of TRiOptima product.Working knowledge of IntellimatchStrong Functional knowledge of operations and trade life cyclesStrong Analytical and problem solving skillsAbility to work to tight deadlinesDesirable experience:A working knowledge of DTCC transaction reporting portal and OTC product knowledge.A good working knowledge of MiFID II transaction reporting requirementsA good working knowledge of MiFID II ARM and PTT vendor packages for reportingEMIR Portfolio Reconciliation experience If you have similar experience to that outlined above and are looking for an opportunity within a progressive and dynamic environment, please forward your CV today. Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        Key responsibilities of the role will include: Daily Monitoring of Transaction Reporting flows across multiple regimes (MiFID II / EMIR / CFTC/ Front Office supervision)Daily Resolution of rejections and failures including raising change requests for systemsReconciliations between source systems and TR / ARMProduction of MIS and Dashboard ReportingMaintaining issues logsReporting of potential regulatory breeches to internal departmentsSupport the Daily testing requirements for Transaction ReportingValidate the field population in line with the Regulator's requirementsReview message flow within MUSE systems and confirm correctness of message enrichmentReview successful submissions to Trade Repository and validate to source booking Necessary experience needed for this role will include:3 years OTC Derivative Middle Office / trade support or Drafting OTC Confirmation experienceSignificant exposure to all OTC Derivative productsExtensive knowledge of EMIR regulatory reportingKnowledge of FpML/ XML / MAML message structureExtensive knowledge of DTCC TRMUREX user experienceProficient with core Microsoft desktop softwareWorking knowledge of TRiOptima product.Working knowledge of IntellimatchStrong Functional knowledge of operations and trade life cyclesStrong Analytical and problem solving skillsAbility to work to tight deadlinesDesirable experience:A working knowledge of DTCC transaction reporting portal and OTC product knowledge.A good working knowledge of MiFID II transaction reporting requirementsA good working knowledge of MiFID II ARM and PTT vendor packages for reportingEMIR Portfolio Reconciliation experience If you have similar experience to that outlined above and are looking for an opportunity within a progressive and dynamic environment, please forward your CV today. Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        • london, london
        • contract
        • competitive
        • full-time
        FICC Compliance Manager, Fixed Income Compliance AdvisoryDepartment: Capital Markets, Compliance LondonPurpose:To protect the brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:* Aligning regulatory priorities with the Business;* Creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;* Establishing and maintaining a strong, effective control environment; and* Identifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Compliance Manager within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following London businesses: FICC (Fixed income / currencies and commodities).Responsibilities Include:* maintaining a detailed knowledge of applicable banking regulations, best practices and relevant internal policies and procedures;* designing and maintaining policies and procedures to address identified regulatory risks;* devising and delivering Compliance training to businesses which comprise primary areas of responsibility;* collaborating with colleagues in the Trade Surveillance and Desk Monitoring team to identify ways to enhance our programs and incorporate any relevant issues arising from the interaction with the businesses;* advise on the application of current and future legislation for the conduct of business for the European operations;* review, advise and draft appropriate text from a compliance perspective for New Business Committee proposals emanating from businesses which comprise primary areas of responsibility;* assisting with desk monitoring activities to determine adherence with FCA conduct of business rules;* advise and assist Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to the transitioning of businesses which comprise primary areas of responsibility;* issue guidance as and when required to the front office regarding current or new regulatory requirements issued by the FCA and other relevant bodies;* to liaise where necessary with the relevant regulatory bodies;* conducting and reporting on compliance investigations of businesses captured by primary areas of responsibility as required;* to be an integral part of the compliance team, assisting other team members and undertaking ad-hoc assignments as required;* assisting with preparing the papers for the Reputation and Compliance Committee and other management fora; and* promoting observance of high standards of business conduct and ethical standards. AUTHORITIES, IMPACT, RISK:* Complete freedom of access to records relating to the business of Group companies including investment business activity and members of staff involved in all such activities..* Being appropriately advised of business developments. *RESULTS EXPECTED & EVALUATED* Timely and technically accurate research and advice;* Clear and concise written and verbal communication;* Completed drafts of compliance communication, policy and procedures; and* Creation and delivery of appropriate training modules for front office staff (where the need for such training has been identified).KEY RELATIONSHIPS* Co-Head of Compliance, Europe* Senior Officers and business Heads in the UK* Compliance Officers throughout the organisationJOB SPECIFICATIONS:* Excellent written and verbal communication skills;* Knowledge of primary and secondary UK financial services legislation;* Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;* Good knowledge of products traded in Global Markets;* Ability to draft clear and technically accurate regulatory guidance, policies and procedures;* Ability to assist in devising appropriate compliance desk monitoring programmes;* Ability to articulate regulatory issues to key relationship contacts;* Ability to assist with ad hoc internal regulatory investigations; and* Ability to maintain the confidentiality of sensitive information.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        FICC Compliance Manager, Fixed Income Compliance AdvisoryDepartment: Capital Markets, Compliance LondonPurpose:To protect the brand and enable achievement of business goals through an integrated compliance culture and program across the enterprise by:* Aligning regulatory priorities with the Business;* Creating and maintaining an effective relationship with regulators to enable reputation and regulatory issues to be appropriately managed;* Establishing and maintaining a strong, effective control environment; and* Identifying and communicating compliance risks inherent in the business to senior management and the business.PRIMARY RESPONSIBILITIES:Compliance Manager within Capital Markets Compliance London with responsibility for advising on regulatory matters affecting the following London businesses: FICC (Fixed income / currencies and commodities).Responsibilities Include:* maintaining a detailed knowledge of applicable banking regulations, best practices and relevant internal policies and procedures;* designing and maintaining policies and procedures to address identified regulatory risks;* devising and delivering Compliance training to businesses which comprise primary areas of responsibility;* collaborating with colleagues in the Trade Surveillance and Desk Monitoring team to identify ways to enhance our programs and incorporate any relevant issues arising from the interaction with the businesses;* advise on the application of current and future legislation for the conduct of business for the European operations;* review, advise and draft appropriate text from a compliance perspective for New Business Committee proposals emanating from businesses which comprise primary areas of responsibility;* assisting with desk monitoring activities to determine adherence with FCA conduct of business rules;* advise and assist Compliance colleagues in Canada, U.S.A, Australia and Asia on the UK regulatory position of matters relating to the transitioning of businesses which comprise primary areas of responsibility;* issue guidance as and when required to the front office regarding current or new regulatory requirements issued by the FCA and other relevant bodies;* to liaise where necessary with the relevant regulatory bodies;* conducting and reporting on compliance investigations of businesses captured by primary areas of responsibility as required;* to be an integral part of the compliance team, assisting other team members and undertaking ad-hoc assignments as required;* assisting with preparing the papers for the Reputation and Compliance Committee and other management fora; and* promoting observance of high standards of business conduct and ethical standards. AUTHORITIES, IMPACT, RISK:* Complete freedom of access to records relating to the business of Group companies including investment business activity and members of staff involved in all such activities..* Being appropriately advised of business developments. *RESULTS EXPECTED & EVALUATED* Timely and technically accurate research and advice;* Clear and concise written and verbal communication;* Completed drafts of compliance communication, policy and procedures; and* Creation and delivery of appropriate training modules for front office staff (where the need for such training has been identified).KEY RELATIONSHIPS* Co-Head of Compliance, Europe* Senior Officers and business Heads in the UK* Compliance Officers throughout the organisationJOB SPECIFICATIONS:* Excellent written and verbal communication skills;* Knowledge of primary and secondary UK financial services legislation;* Knowledge of FCA Handbook, specifically Conduct of Business Rulebooks;* Good knowledge of products traded in Global Markets;* Ability to draft clear and technically accurate regulatory guidance, policies and procedures;* Ability to assist in devising appropriate compliance desk monitoring programmes;* Ability to articulate regulatory issues to key relationship contacts;* Ability to assist with ad hoc internal regulatory investigations; and* Ability to maintain the confidentiality of sensitive information.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        • city of london, london
        • contract
        • £500 - £567 per day
        • full-time
        We currently have an exciting opportunity for an experienced Business Analyst with a regulatory change background. The candidate must have detailed knowledge of OTC derivative products, predominantly SWAPS, and have managed regulatory change projects within this space.The individual will be responsible for reviewing and documenting the current state CFTC regulatory reporting process (including IT landscape), understanding new SEC SBSD regulatory reporting requirements, and performing a gap analysis to determine the changes necessary to support future state.Responsibilities:Document the current CFTC reporting process, including reference, static and transactional data capture across the IT landscapePerform a gap analysis between CFTC & SBSD regulatory reporting requirements and define the delta Facilitate future state design workshops with representatives from Operations, Legal, Compliance and IT, to define change requirements across the IT landscapeDesign new Operational processes to support future state SEC regulatory reporting requirementsComplete Business Requirements Document and obtain sign off across functionsLiaise with the business and other support groups (including legal, compliance, and IT) to ensure future state requirements are clearly understood, well documented, and effectively implemented across functionsFacilitate SIT, regression testing, and UAT across the IT landscape, escalating issues (where necessary) to the SBSD project managerRaise project issues in a timely manner to SBSD Project Manager Responsible for ensuring completion of daily obligations in accordance with Head Office Rules, Regulations and Compliance policyExperience required:Financial services experience, preferably within a top tier firm 5+ years working within a regulatory change role either as a senior Business Analyst or Project ManagerExperience as a Technical Business Analysis is advantageousProven track record of delivering regulatory driven projects with fixed deadlinesRegulatory reporting and compliance experience is also preferable Comprehensive knowledge of CFTC and SBSD reporting regulations and process to reportExtensive knowledge of OTC derivative products, including FX and SWAPSAdvanced process and data mapping skills using Visio, Excel and MS WordIf you have similar experience working as a Business Analyst within the regulatory space, please forward your CV today.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
        We currently have an exciting opportunity for an experienced Business Analyst with a regulatory change background. The candidate must have detailed knowledge of OTC derivative products, predominantly SWAPS, and have managed regulatory change projects within this space.The individual will be responsible for reviewing and documenting the current state CFTC regulatory reporting process (including IT landscape), understanding new SEC SBSD regulatory reporting requirements, and performing a gap analysis to determine the changes necessary to support future state.Responsibilities:Document the current CFTC reporting process, including reference, static and transactional data capture across the IT landscapePerform a gap analysis between CFTC & SBSD regulatory reporting requirements and define the delta Facilitate future state design workshops with representatives from Operations, Legal, Compliance and IT, to define change requirements across the IT landscapeDesign new Operational processes to support future state SEC regulatory reporting requirementsComplete Business Requirements Document and obtain sign off across functionsLiaise with the business and other support groups (including legal, compliance, and IT) to ensure future state requirements are clearly understood, well documented, and effectively implemented across functionsFacilitate SIT, regression testing, and UAT across the IT landscape, escalating issues (where necessary) to the SBSD project managerRaise project issues in a timely manner to SBSD Project Manager Responsible for ensuring completion of daily obligations in accordance with Head Office Rules, Regulations and Compliance policyExperience required:Financial services experience, preferably within a top tier firm 5+ years working within a regulatory change role either as a senior Business Analyst or Project ManagerExperience as a Technical Business Analysis is advantageousProven track record of delivering regulatory driven projects with fixed deadlinesRegulatory reporting and compliance experience is also preferable Comprehensive knowledge of CFTC and SBSD reporting regulations and process to reportExtensive knowledge of OTC derivative products, including FX and SWAPSAdvanced process and data mapping skills using Visio, Excel and MS WordIf you have similar experience working as a Business Analyst within the regulatory space, please forward your CV today.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

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