Compliance Advisory Consultants

Public Side Advisory Role

The role will focus on engaging with and responding to requests for advice from various stakeholders in the three lines of defence relating to these product areas and the conduct of business and prevention of market abuse (including MIFID/EMIR and policy queries).

• Reviewing the control framework
• Participating in the assessment of new products and services
• Drafting/reviewing relevant policies
• Transaction reporting issues and other internal reporting/projects.
• Trading floor activities including FX and Money Markets, Derivatives, Benchmarks, Fixed Income and Equities
• Detailed understanding of the requirements of MiFID, EMIR, MAR and COBS.

Private Side Advisory Role

The role will focus on engaging with and responding to requests for advice from various stakeholders in the three lines of defence relating to these product areas and the conduct of business and prevention of market abuse (including policy queries).

• Expertise in compliance advisory related to DCM, ECM, M&A and Research (and therefore MiFID, MAR and COBS)
• Reviewing the control framework
• Participating in the assessment of new products and services,
• Drafting/reviewing relevant policies and liaising with colleagues on other internal reporting/projects and the control room.

Please reach out to Bradley Handelaar at Danos Consulting if you are keen to learn more about either of these opportunities.