Description
Location: London
Hybrid: 3 days in the office
Background
The regulator requires regulated firms to have an appropriate compliance function, with an appropriate number of competent staff who are sufficiently independent to perform their duties objectively. Under the supervision of the SMF16, the senior management function for the oversight of Compliance under the FCA’s senior management regime, the Compliance Oversight Function performs this role. The Compliance Department also liaises with compliance teams throughout the Client Group to ensure that they are compliant for UK matters, tasks under SLAs with EMEA entities and also for remote bookers in locations such as Tokyo, Hong Kong, Singapore and New York. The role-holder heads the Compliance Function and is a member of the senior management team of EMEA, setting department strategy in line with client and other relevant SMFG offices while supporting business initiatives. This role is part of the Compliance Private Side Advisory team across all EMEA entities, particularly those that engage in or perform activities impacting Control Room activities in managing inside information and conflicts of interest for the firm.
Key Stakeholders
- All areas of the business which includes front, middle and back office, focusing on designated business areas as appropriate
- Client Group Companies worldwide
- Clients throughout the world; Industry and Financial Regulators
- Auditors (both Internal and External)
- Compliance functions within client group
- Committees (including Executive Committee)
- Board members that govern CM Ltd
Accountabilities & Responsibilities
- Act as a trusted advisor for compliance matters across relevant product areas in EMEA through specialised regulatory knowledge and interpretation of rules.
- In conjunction with other members of Compliance team contribute to design and implementation of an effective Compliance Risk Assessment program; implementation of an Annual Compliance Plan; execution and reporting on Compliance Monitoring program.
- Along with rest of team design training material and train all staff on required Compliance and Conduct materials including development of relevant materials.
- Interpret, develop or update relevant Compliance Policies, Departmental Procedures and internal processes to reflect FCA rules, Global requirements & other regulatory inputs.
- Contribute & draft responses to internal & external regulatory exams/audits; Monitor appropriate information barriers & insider trading prevention procedures; Liaise with client Group companies on relevant topics including Conflicts Of Interest & information handling; Review investigate assess/conclude on suspicious transactions reports.
Knowledge, Skills, Experience & Qualifications
- Proven experience working within financial services industry; Experience gained in securities house broker dealer or wholesale banking advantageous.
- Good verbal & written communication skills.
- Ability to work independently & as part a team.
- Articulate able apply new skills effectively.
- Able multi-task prioritize multiple projects.
- Able build relationships good rapport stakeholders.
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