Description
Compliance Officer - within Asset Management
One of our Large Financial clients its currently looking for an experienced Compliance Officer - within Asset Management to join their team
Experience of Custody, Corporate Trust, Depositary Receipts and Treasury Services.
Compliance experience (UK/EMEA prudential and conduct regulatory framework (CRD IV, MIFID II, PSD II, Conduct Risk agenda etc.)
The role of the UK Compliance Officer is primarily to support the bank to remain compliant with regulatory and corporate compliance policies. This role holder will play a key role in supporting the day-to-day running compliance activities, in particular as they relate to Investment Services in the UK, including Custody, Corporate Trust, Depositary Receipts and Treasury Services.
Responsibilities:
- Provide accurate and timely technical advice and guidance to business/business partner colleagues on regulatory compliance issues.
- Help prepare and maintain a detailed rule map of the full universe of applicable prudential rules and related conduct rules for the relevant business lines. Understand and help maintain a detailed business Matrix outlining the relevant legal entities, activities and process flows and undertake/maintain a detailed rule mapping of the full universe of applicable prudential rules and related conduct rules
- Represent Compliance within business driven projects. Provide constructive challenge to help ensure that the bank's regulatory obligations are taken account of within the project.
- Represent the bank at relevant industry events/forums.
- Participate in internal business/governance meetings and represent the bank externally as required. Ensure that any reports required for those meetings are provided in a timely manner and are focused and relevant to the meeting topic. Provide constructive challenge within meetings regarding relevant regulatory requirements.
- Participating in or leading the delivery of Compliance related training.
- Deputising for the UK Senior Compliance Manager where required.
- Where required participate in compliance monitoring reviews. This is likely to comprise sharing of information with Compliance Monitoring colleagues regarding the business lines and/or regulatory themes they are planning to review, but could include participation in monitoring reviews where necessary.
- Work with Regulatory Change colleagues to advise and cascade on any new regulatory requirements, including business/legal entity implementation
Ideally degree level qualification
- Industry compliance qualifications
Technical Competence & Experience:
- Relevant technical knowledge of UK/EMEA prudential and conduct regulatory framework (CRD IV, MIFID II, PSD II, Conduct Risk agenda etc.).
- Relevant compliance (or possibly risk/legal) experience.
- Relevant custody/wholesale banking experience would be a distinct advantage
Key Competencies and skills:
- Strong analytical skills, detail focussed;
- Ability to influence across peer groups;
- Proven capability of working in a Matrix environment and reporting structure;
- Ability to think pragmatically and proactively suggest solutions;
- Team player and flexible in a fast paced environment. Strong relationship management skills;
- Articulate and able to represent UK/EMEA Compliance to senior business personnel with confidence.