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Compliance and Operational Risk Specialist - VP

London, United Kingdom | Bank of America Merrill Lynch

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Risk Management
    Legal / Compliance
  • Experience:
Job Description:
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Perform daily monitoring and disclosure of positions held by the firm

Prepare LSR, SS and ToP disclosures as necessary.

Take an active part in the sourcing and validation of data and functionality for the firm's new large shareholder and short selling databases.

Close liaison with the Line of Business and Compliance officers to confirm positions and any other issues arising from the holding of stock in a timely manner.

Liaise with compliance technology group on all matters of system enhancements.

Engage in the analysis of new rules and regulations pertaining to the monitoring and reporting of holdings in equity as needed.

Perform testing of shareholder reporting processes.

Will interact regularly with individuals in all relevant lines of business, as well as work with counsel and Compliance.

Skills and Competencies:

Good knowledge of Financial Markets, Banking Industry and products.

Demonstrate strong verbal and written communication skills.

Previous experience of the equity aggregation function, particularly in large shareholder reporting, takeover panel reporting and short selling reporting.

Business Analyst experience with Technology development team is advantageous.

Significant understanding and exposure to equities products within a similar environment is preferred.

High level of attention to detail is a must.

The ability to work under pressure and within tight deadlines to a consistently high level of accuracy.

Show initiative and react quickly to changes in priorities with the ability to quickly learn new procedures.

Strong technical skills ( i.e. Excel, MS Access and other similar applications) with experience in analysing, manipulating and reporting from large sets of structured data (e.g. books and records data) .

A clear and logical thought process with a propensity to question facts and data.

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