Overview

IBD Compliance supports the Investment Banking division (which includes M&A Advisory and the Financing Group, including equity and debt capital markets, structured finance, credit finance, emerging markets financing, corporate derivatives). You will work as part of the IBD Derivatives Compliance Team and assist in covering the European IBD FICC & Equity Derivatives Businesses. Products include structured equity, structured credit, interest rate & FX derivatives, fixed income securities and currencies. The candidate will be required to work closely with sales, structurers, traders and also other departments, such as Legal, Controllers, Credit and Internal Audit.

RESPONSIBILITIES:

The successful individual would be expected to get involved in a wide variety of activity as needed, which might include:

  • Assisting with the due diligence of individual transactions, new products and business initiatives, with particular focus on OTC derivatives
  • Forensic reviews of IBD activity and practices
  • Review of marketing materials & termsheets
  • Surveillance testing and monitoring banker activity to ensure compliance with appropriate rules, regulations & firm policies
  • Involvement in short and long-term projects
  • Conducting counterparty due diligence to ensure compliance with Firm policies regarding capacity, authority and suitability
  • Creating and implementing compliance training programs
  • Developing policies, procedures and best practices
  • Keeping up-to-date with relevant regulatory/rule changes analysing and implementing
  • Participating in regulatory and internal investigations and audits

SKILLS / EXPERIENCE:

  • Substantial initiative, creativity and drive
  • Strong analytical skills, particularly judgment and problem-solving
  • Strong control mindset – ability to design robust procedures
  • Strong organizational and multi-tasking skills
  • Interpersonal skills required for extensive banker contact
  • Ability to act with tact and discretion
  • Ability to assimilate complex verbal data very quickly
  • Ability to write concisely and persuasively
  • Ability to deal with a wide variety of people across all levels of seniority within banking and elsewhere
  • Ability rapidly to establish credibility and build relationships with others
  • Ability to understand technology processes quickly
  • Highly motivated, self-starter, with a willingness to get involved

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