Head of Markets Compliance
il y a 1 mois
As a Head of Markets Compliance based in Paris you will manage a team responsible for providing Compliance oversight and support of the Markets Line of Business. Additionally, you will be expected to provide guidance in respect to French Regulatory requirements in general and to support the broader global Markets teams.
Job Responsibilities:
- Providing credible, timely and risk-based advice, challenge and support on regulatory matters, including 'live' regulatory interpretations and decisions to the business in high profile and/or time constrained situations
- Provision of thought leadership and compliance input to regulatory change management
- Providing timely and robustly documented input into business initiatives consistent with the firm's regulatory and reputational risk tolerances - e.g. new product proposals, business reorganisation, review of specific initiatives/transactions/structures to identify regulatory and control issues.
- Ensuring provision of scheduled and ad-hoc training to the business
- Ensuring accurate and timely completion of monitoring and testing activities as well as identification of assurance activities
- Identification, implementation and review of compliance policies, procedures & additional documentation
- Actively participate in the identification, assessment, challenge and calibration of risks
- Lead responses to governmental and regulatory inquiries, investigations, and exams
- Preparation of materials (management information) for First and Second Line of defence recipients, including legal entity boards
- Oversee the disposition and issuance of policy / conduct violations; partnering with HR, Legal and other internal stakeholders.
Required qualifications, capabilities, and skills
- Strong understanding of Markets structures and products and knowledge of key financial services regulation appliable to Markets
- Good understanding of broader French regulatory requirements
- Strong manager and team player willing to work closely across and with multiple teams where inter-dependencies will be ongoing
- The individual will need to be proactive and action orientated with good analytical skills and a proven ability for problem solving as well as being able to effectively challenge the front office.
- Excellent stakeholder engagement skills with ability to communicate effectively at all levels across a diverse and global organisation
- Strong analytical skills and ability to understand and interpret complex regulatory requirements
- Excellent communication and presentation skills, with the ability to translate complex regulatory issues into comprehensible messages for a range of audiences and levels
- Meticulous attention to detail, strong organisational skills and a commitment to ensuring that information provided to the firm’s regulators is of a high standard
- Ability to consider the regulators’ position and understand, anticipate and react positively to their requirements and demands.
Preferred qualifications, capabilities, and skills
- Relevant experience of performing a similar role at a global investment bank would be a significant advantage
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