We're seeking a Compliance, Conduct and Operational Risk (CCOR) Vice President who will effectively partner with Line of Business (LOB) and global/regional Compliance teams; including Operational Risk and other Control functions. This position requires knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices.
As a Compliance – Vice President within Markets Line of Business team, you will partner with global and regional compliance teams to ensure adherence to regulatory standards. You will have the opportunity to provide thought leadership and compliance input to regulatory change management. You will drive business initiatives that align with our firm's regulatory and reputational risk tolerances. Your role will be pivotal in shaping the compliance landscape and ensuring our business thrives in a competitive environment.
In this role, you will be an integral part of the coverage team for the Markets Line of Business, with a specific focus on Futures & Options Execution and Clearing business. In addition, you will support the team's broader coverage of:
* Equity Derivatives
* Benchmark Administration
* Retail Structured Products
* Asset Management
Job responsibilities
* Provide credible, timely and risk-based oversight and challenge
* Deliver thought leadership and compliance input to regulatory change management
* Manage venue enquiries
* Provide timely and robustly documented input into business initiatives that is 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 issues
* Deliver scheduled and ad‑hoc training to the business
* Complete monitoring activities accurately and on time, with robust documentation.
* Identify and implement compliance policies, procedures & additional documentation as may be required
* Prepare materials for forums
* Identify issues and escalations appropriately to management
Required qualifications, capabilities and skills
* Relevant Compliance or other related experience; such as Risk management, Audit, or similar Control-related experience
* Experience in compliance coverage of Futures & Options Execution and Clearing and exposure to at least some of the coverage areas listed above
* Knowledge of the UK and EU regulatory framework as applicable to the coverage areas (e.g. MiFID II, MAR and PRIIPs/CCI), and recent regulatory developments, (e.g. Consumer Duty, Retail Investment Strategy)
* Demonstrated ability to identify key issues and obtain appropriate information for further analysis
* Must be highly analytical with experience in collecting, analyzing, and synthesizing information on various subjects
* Must possess excellent written and oral communication skills
* Teamwork skills; you must be flexible in work style and be able to work appropriately with stakeholders and colleagues
* Strong PC skills including Microsoft Excel, SharePoint, Word, PowerPoint and other reporting tools
* Ability to establish credibility and strong partnerships globally
* Ability to manage numerous reviews and confidential and sensitive information in a professional manner in a fast-paced, deadline-driven environment
Preferred qualifications, capabilities, and skills
* Audit, Regulatory &/or Testing experience a plus
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