Compliance Advisory Manager
il y a 4 jours
Compliance Advisory Manager
Debt Capital Markets & Fixed Income
Central Paris
About the Company:
An innovative & new entrant to France’s Capital Markets sector is seeking a new Compliance Advisory Manager to join their team in Paris.
In this role, working with the Chief Risk & Compliance Officer, your role would be to provide regulatory interpretation and advice to the Markets business, including: Debt Capital Markets and Fixed Income, draft policies and training on regulatory matters, and assist in any other compliance duties.
The office in Paris is a newly established subsidiary of a multinational banking group with an incredible track record for success. The business globally has a fantastic employee-focused culture in which they value progression, development support & learning as well as progressive views on how to do business. You will learn a lot & work closely with a fantastic mentor.
Your responsibilities:
- Providing real-time compliance advice to the Markets business.
- Implementing effective compliance policies and procedures.
- Identify compliance risks, create and perform compliance controls on the first line of defence.
- Provide advice and review the effectiveness of first line of defence controls
- Be part of new product committees and provide advice
- In charge of regulatory watch, implement new regulatory changes and draft relevant compliance policies and procedures for business units and update them when necessary.
- Draft annual regulatory reporting
- Assist with internal audit requests and with regulator audits/inquiries/requests.
- Collaborating with other compliance areas within the group
- Escalating suspicious transactions to the relevant authorities in France
- Create and update compliance training to Markets business on EU and French requirements.
- Attend French markets association meetings.
- On-going assistance for AML/FT client onboarding.
About you:
- In-depth experience of compliance within financial markets, ideally Fixed Income Debt Capital Markets. In the next 18 months, there may be scope to expand their offering covering Equities.
- Legal Academic qualifications
- A desire to build relationships with colleagues in Pairs & internationally.
- Ability to identify risks and to solve problems.
- In-depth knowledge of relevant regulations and industry standards in the EU (e.g. MIFID, MAR, AML).
- Bi-lingual in both English and French.
Would you like to know more about this role? if so, please reach out to Kevin Adam-Hein in Broadgate to have a confidential discussion.
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