Job Description

This position is responsible for the planning, implementation and monitoring of policies and procedures, regulatory requirements and establishing programs to measure, mitigate and monitor regulatory risk to ensure that the international operations with relevant legislation and regulation in a multi-jurisdictional regulatory environment. This position will also coordinate with resources both within and outside of Investments & Trading to design and deliver effective processes and controls.
The successful candidate will have a proven background in risk, controls and/or compliance. They will also have a good understanding of the operational processes that support Investments, experience of dealing with regulatory requests and be able to demonstrate risk awareness, alongside a working knowledge of governance and controls.

Responsibilities:

• Management of First Line controls and related governance matters for Investments
• Manages day to day risk and compliance activities as required by the business
• Ensures Investments implement appropriate processes and controls to comply with local requirements and global policies
• Help anticipate the changing legal and regulatory requirements that will impact the people, compliance, governance and operational processes
• Lead projects and serve as the SME for Investments on regulatory and Governance initiatives
• Partner with Investment Leadership and Business Management to understand and support their needs (e.g. regulatory requests, operational reviews, regulatory reporting, audit)
• Partner with Global Compliance and Control Functions (e.g. Compliance Advisory / Compliance Monitoring / Privacy / Audit / Legal / Risk) on the pragmatic interpretation and response to new regulation.
• Network with buy-side peers to understand industry norms and best practice
• Conduct gap analysis exercises to identify risks and implement solutions to enhance the team’s compliance and governance practices, including the development of First Line controls as appropriate
• Ensure Investment policies and processes are kept up to date with regulatory and legal change (e.g. review and update existing policies, design and implement new processes)
• Act as the first point of contact for incident management matters
• In coordination with global compliance develop training material to educate Investments teams and key business partners

Required Knowledge, Skills, and Abilities

• Combination of education and relevant experience.
• Deep understanding of policies, processes and operations across different functions within Investments
• Understanding of Investments legal and regulatory landscape (e.g. IFPR, SMCR, SFDR, MiFID etc.)
• Track record of working with senior leaders and SMEs from across the business
• Experience of partnering with Regulators
• Excellent consulting, partnering and influencing skills
• experience of interpreting changes in legislation and regulatory requirements, understanding the impact on Investments
• Strong examples of managing complex compliance/legal issues as they relate to Investment to include a demonstration of independent problem-solving
• Proven multi-tasking abilities and proactive approach
• Project management experience
• Experience gained within asset management / wealth management business