Role & Responsibilities:
The incumbent will work as part of the Conduct Advisory, Registrations and Training/Affirmation team, focusing on the processes supporting Certifications, Registrations, and Conduct Advisory activities. This will include:
- Providing support with the process of registering Senior Managers and other relevant staff members with the PRA (Prudential Regulation Authority) / FCA (The Financial Conduct Authority)
- Supporting Compliance processes for the Senior Managers and Certification Regime (SMCR), and liaising with staff members from other corporate functions in order to enable the same
- Supporting Compliance processes for staff registrations basis Swap Dealer Associated Person (AP) and Security-Based Swap Dealers Associated Person (AP) requirements by CFTC (Commodity Futures Trading Commission) / NFA (National Futures Association)
- Working closely with other colleagues in London in order to ensure strong delivery support
- Reviewing and enhancing offshore processes, policies and systems in order to ensure that they are fully aligned
- Highlighting and supporting the implementation of controls, process enhancements and efficiency gain related initiatives
- Collating and reviewing monthly management information, and suggesting and helping with the implementation of further enhancements and process remediation initiatives where required
- Working collaboratively with other areas of Compliance, both within EMEA and Globally in order to ensure clarity and understanding of roles and responsibilities and consistency of approach
Mind Set:
Mandatory Desired Domain / Technical
- Basic understanding of Investment Banking business and the Financial Regulatory environment
- Knowledge of Regulatory registrations & Certifications
- Basic knowledge of the EMEA regulatory environment
- Demonstrable project management skills
- High level of proficiency on key MS Office packages (Word, PowerPoint, Excel)
- Excellent written skills, with ability to analyze and summaries complex matters
- Risk aware with an ability to priorities information and topics accordingly
- Relevant experience in the financial services industry (or equivalent at regulators / industry bodies / consultancy firms) is desirable, with an understanding of current and emerging regulatory issues for the industry in the EMEA region
- Compliance Background
- Ability to identify issues and know when to escalate. Methodical and attention to detail
- Power BI / Tableau and other data visualization tools
- Knowledge of Excel macros
- Prior experience of trade and voice surveillance would be preferred
- Team Handling experience
Interpersonal
- Ability to represent the Compliance function credibly in discussions with other departments, including front office and Human Resources
- Good interpersonal skills; high ethical standard; collaborative; detail oriented, with a willingness to learn and adapt
- Strong time management skills
- Strong attention to detail, with the ability to ensure data completeness and accuracy
- Strong administrative skills and analytical approach to problem solving
- Willingness to be flexible and adapt quickly to changing demands of the role
- Collaborates within and across teams, involving the right people
