Feb 14, 2018
Role: Serve as the “Face of Compliance” in the role of Business Unit Compliance Officer for the Firm’s EMEA Commercial team based in London. In this role, you will be the primary initial point of contact on compliance matters for the EMEA Commercial team, reporting to the Business Unit Compliance Officer based in New York responsible for the global Commercial line. This is a high visibility position and one that requires a candidate with intelligence, excellent judgment, and strong oral and written communications skills. Responsibilities: Coordinate compliance efforts globally through a network of regional compliance associates and centralised compliance functions. Support successful implementation of policies and procedures, promote consistency across jurisdictions, and facilitate escalation and appropriate resolution of compliance issues. Advise employees on Codes of Conduct and policies and procedures regarding such matters as securities trading, gifts, outside business interests, confidentially, separation, record-keeping and regulatory disclosures Represent compliance at staff meetings. Provide succinct updates, communicate on new and revised policies and procedures, and present on compliance topics of interest to the business. Spot issues, analyse compliance exception trends, and recommend remedial actions to senior management within assigned lines of business. Serve on a policy review committee and take ‘ownership’ for the accuracy and completeness of a set of policies and procedures. Demonstrate strong decision making skills, as well as influencing ability. Qualifications: Experience in compliance-related field. MBA, law degree (or equivalent) or background in risk management/audit desirable. Experience in fixed income, capital markets, or credit environments required. Effective verbal and written communication skills, including active listening skills and skills at creating and delivering training and topical presentations to teams, groups, and members of senior management. Affinity for project work and problem-solving, with proven track record in identifying and analysing relevant considerations, developing sound recommendations, and presenting findings and recommendations in a clear and concise manner. Ability to take initiative and work with minimal supervision on independent assignments, but also to work effectively within teams. Competing demands on time require a high degree of flexibility and excellent time-management skills. Willingness to respond to urgent queries from Asia during evening hours when necessary. Must be able to develop credibility with business and compliance stakeholders, and work well under pressure. Comfortable working in an environment of regulatory change. Key Skills: Highest ethical standards. Professional, pro-active, flexible, diligent and dependable. Excellent oral and written communications skills. Excellent relationship development and management skills Well organised, detail oriented with excellent follow up skills essential. Strong documentation and file management skills. Highly organised and efficient, with ability to multi-task and meet tight deadlines. Visio, PowerPoint for - graphs, charts and/or visual representation of data and information. Understanding of compliance functions is critical.
Financial Services London, United Kingdom Full time