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EMEA Disclosure of Interest - Compliance Officer – Associate
mid · Other
Join the EMEA Disclosure of Interest team and help ensure the Firm meets key regulatory disclosure obligations. You will work closely with Compliance partners and the business on time-sensitive, high-impact disclosures. This role offers the opportunity to build strong regulatory knowledge, deepen controls expertise, and grow within a collaborative team.
As an EMEA Disclosure of Interest (DOI) team member, you are responsible for disclosing the Firm’s principal and fiduciary holdings to satisfy EMEA regulatory requirements and enquiries from regulators, internal parties, and issuers. You will monitor and disclose positions/trades, support controls and quality assurance, and respond to queries from Compliance and the business. You will liaise with key stakeholders to help manage trading restrictions/approvals and escalate potential issues as needed.
Job Responsibilities
- Monitor and disclose positions/trades according to relevant takeover regulations, short selling and major shareholding fillings
- Represent Controls and Quality Assurance on all regional management meetings
- Liaise with other areas of Compliance (e.g. Control Room, LoB) regarding trading restrictions/approvals and possible breaches
- Prevent breaches of ownership thresholds and to restrict holdings in particular industries or to comply with additional notification obligations (e.g. energy companies in Spain, strategic enterprises in Russia). Liaise with the Control Room and LoB Compliance to restrict or manage trading activity if necessary
- Respond to queries from Compliance or the Business – e.g. performing position searches (to assist with: conflicts of interest checks, gauging disclosure implications of proposed transactions etc); advising disclosure requirements etc
- Keep abreast of regulatory changes as it impacts the relevant disclosure rules
- Act as a central contact for financial regulators in the event of questions/queries raised
- Advise off-shore DOI team and act as first point of escalation/engagement
Required qualifications, capabilities, and skills
- Basic knowledge of a broad range of financial instruments, including equity derivatives
- Self-starter, capable of working under minimal supervision
- Adept to multi-tasking and meeting deadlines in high-pressure environment
- Results oriented team player with a consistent track record of driving tasks quickly and accurately to fruition
- Strong problem solving ability coupled with the ability to recommend and make decisions autonomously
- Exceptional research and analytical skills with the ability to analyse large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately.
- Strong interpersonal and verbal/written communication skills
- Proficient in MS Office (Outlook/Word/Excel/PowerPoint)
- Strong documentation skills to clearly and accurately articulate alert disposition
Preferred qualifications, capabilities, and skills
- Successful track record working in a financial institution and familiarity with DOI functions and systems will be an advantage.