I work in the Equities Compliance team, managing regulatory and reputational risk by working closely with Global Markets employees. My team facilitates business by advocating transactions that are within our regulatory framework. I work on the London trading floor but my work spans regions, and I actively collaborate with compliance officers, lawyers, traders and sales professionals throughout Europe.
The great thing about Compliance is that you get to see initiatives through from start to finish. Project and transaction-specific queries often demand an enormous amount of in-depth research, and can also involve talking to colleagues around the world, listening, creating, presenting and then implementing. The Equities team in London serves the entire region, so I’m exposed to compliance issues throughout Europe, the Middle East and Africa.
My mornings tend to revolve around trade inquires, and responding to questions and requests. In the afternoons I focus on new initiatives and examine the new regulations that are constantly being introduced. To succeed, you have to be quick on your feet and ready to respond to requests from senior colleagues. I’m glad to say that Compliance is very respected here. The sense of cultural community and collaboration is fantastic. If you close your eyes, you can hear 10 different languages on the trading floor.