Compliance Officer Compliance Officer …

Resource Solutions
in London, United Kingdom
Contract, Full time
Last application, 18 Oct 20
Resource Solutions
in London, United Kingdom
Contract, Full time
Last application, 18 Oct 20
Compliance Offier 6 month contract role London based Large Investment bank

Department Profile:

The mission of the Compliance Department is to manage a Firm wide Compliance risk management program. The objectives of the Department are to:

  • Promote a strong culture of compliance;
  • Identify, measure, mitigate and report on Compliance risks;
  • Maintain a risk-based program of compliance monitoring and testing coverage; and
  • Provide management and staff with advice, guidance (including policies and procedures) and training concerning the laws, regulations and policies associated with their responsibilities.

In order to accomplish the above, the key functions of the EMEA Compliance Department include:

  • Maintenance of Compliance policies and procedures for EMEA;
  • Provision of advisory services and training to Business Units ("BUs") and certain areas within other Infrastructure functions as appropriate;
  • Management of a program of Compliance monitoring and testing for EMEA;
  • Execution of a Compliance Risk Assessment process/Risk Reporting Framework;
  • Development of a risk-based EMEA Annual Compliance Plan prioritising Compliance obligations;
  • Reporting on Compliance risks and activities as appropriate to EMEA Senior Management; and
  • Maintenance of a Compliance function that is independent and effective.

Primary Responsibilities:

The candidate will report to the Vice President for the EMEA region and will be responsible for progressing a number of regulatory projects to enhance existing and/or implement new processes for the EMEA Compliance Registrations Team. The individual will have strong stakeholder management skills and be able to drive actions to meet tight deadlines, ensuring attention to detail.

  • Participate and drive progress in Regulatory projects, ensuring timelines are met and delays are appropriately escalated
  • Produce presentation decks providing updates for review with senior stakeholders
  • Regulatory rule review and mapping required as part of project work
  • Drafting Policies and Procedures to be used by the team
  • Assist with the implementation of new or existing registration and exchange processes and controls

The ideal candidate should possess the following skills and qualities:

    • Senior Manager and Certification Regime, including but not limited to SYSC and COCON rules
    • US Regulations under CFTC
    • Self-starter with the ability to balance multiple projects and meet deadlines
    • Project Management skills
    • Strong stakeholder management skills
    • Strong communication and interpersonal skills - able to present matters succinctly to a range of audiences
    • Advanced PowerPoint in order to deliver management information reports
    • Ability to remain focused under pressure
    • Degree educated or equivalent
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