Risk and Compliance Officer (Global Markets)
You will be responsible for engaging in activities to provide independent compliance and operational risk oversight of the front line and control function according to the global policy. You will promote a culture of risk management and the identification, escalation and timely mitigation of compliance and operational risks.
What you’ll be doing
- You will contribute to the requirements in the global policy aligned to compliance and operational risk officers
- Advise partners on how to deliver plans while handling compliance risk.
- Provide advice on the regulatory and firm policy requirements in respect of day-to-day activity
- Help the business controls in the development of supervisory practices.
- Ensure that appropriate monitoring & testing is conducted, in line with compliance risk assessments
- Assist in preparing for regulatory visits, including conducting reviews of affected areas; briefing relevant staff; coordinating the logistics of the visit and contributing to the follow-up actions.
- Ensure accurate responses with regulatory bodies relating to information required and deadlines, and liaison with internal groups to obtain information and prepare responses.
- Participate in internal investigations into breaches of regulatory requirements or firm policy.
- Contribute to department initiatives on regulatory developments and impact analysis on the firm’s business support organisations.
- Work closely with the global team and Legal departments to build and deploy global policies and procedures.
- Ensure compliance training.
What we need from you
- A deep understanding of Global Markets products: equity products and derivatives products,
- Genuine interest in the securities markets and banking world, regulation and changing legislation.
- Experience in dealing with regulators.
- Legal, Compliance or Regulatory qualifications.