Job Description: Individuals are expected to be able to develop professional relationships with the management of the relevant business lines and desk staff, with the objective of each member being able to provide carefully considered real-time advice to the Equities business in pressurised situations which can often require thorough debate and guidance to find solutions. The successful candidate will be a source of regulatory expertise and guidance to the business and will be involved in many aspects from advisory, training, dealing with investigations, ensuring market abuse risks are managed, advising on regulatory impact of new products and liaising with compliance in other global locations etc. Job Responsibilities: Ensuring that operational loss events are appropriately reported by the business, and that these are reviewed and challenged to ensure appropriate mitigation actions are captured Developing effective working relationships with the Equities Management team and other departments in the region including GCIB (including Corporate Broking and Equity Capital Markets) and Research to manage impact on day to day Equity business. The role also involves attending and participating in governance forums for each of the Equities business groups and providing day to day oversight, advice and challenge in relation to these businesses, including providing clarity on the Firm’s regulatory and exchange obligations. Management and execution of the Compliance and Operational Risk, Risk Assessment process for the Equities Business. Perform and conduct targeted risk assessments on emerging risks, or perform deeper dives into processes which may require reviewing in more detail It is essential to ensure that the Equities businesses are provided with an adequate level of Compliance and Operational Risk support and training, which the Equities Compliance and Operational Risk team provide both in person and online. Participate in regulatory consultations so that BofA’s view is heard and considered, e.g. ESMA/FCA papers as well as working with trade associations as necessary. Be able to provide regulatory requirements and interpretation of the Firms view for the business to be able to implement Job Details: Company: Bank of America Vacancy Type: Full Time Job Location: London, England, UK Application Deadline: N/A Apply Here vacanciesforyou.net
Vacancies For You | Latest Job Opportunities 2025
