Compliance Risk Management Officer/Lead - VP Securities Services

Join a team that involves monitoring, reviewing, and challenging on the processes, risks and controls related to the product offerings within Securities Services to demonstrate compliance with regulatory requirements.

As a Compliance Risk Management Officer in the EMEA Securities Services team, you will work closely with various departments to implement and maintain effective compliance frameworks. You will be a key point of contact for regulatory-related queries and audits. This role requires a strong understanding of Securities Services and associated regulatory requirements, strong analytical skills, and the ability to work collaboratively with various departments to ensure compliance and mitigate risks.

Job responsibilities

• Monitor and assess the effectiveness of new and existing regulatory controls and procedures, providing challenge and advice with regards improvements to the LOBs where necessary.

• Ensure the line of business complies with all applicable laws, regulations, and industry standards

• Support the LOBs with the regulatory exams, inspections and requests, this will entail reviewing documentation, materials, responses and providing guidance and challenge.

• Attend meetings (internal, preparatory and/or external) along with further sessions as required by regulators, auditors or relevant governance meetings to provide updates from a 2LOD/CCOR perspective.

• Review and support the business in reviewing and updating policies and procedures in line with regulatory changes and industry best practices.

• Provide input to legal entity compliance risk assessments and identify potential areas of vulnerability

• Monitor compliance activities and prepare reports for senior management and regulatory bodies where required.

• Work closely with internal stakeholders, including finance, other compliance teams, operations, and legal teams,

• Provide expert advice and guidance on compliance-related matters to senior management and other relevant parties across the 3 x LODs.

• Stay up-to-date with changes in regulations and industry trends, ensuring that the organization remains compliant and competitive.

• Bachelor's Degree or equivalent.

• In-depth knowledge of the Securities Services business

• Superior analytical and interpretative skills.

• Demonstrated capability to learn quickly and manage multiple demands.

• Strong written and oral communication and ability to provide credible advice and challenge, and partnership-building/teamwork skills.

• Ability to identify potential issues and/or areas of improvement.

• Have relevant compliance, regulatory consulting, regulatory audit, regulatory risk, legal or controls experience.

• Ethical Standards: High level of integrity and ethical standards.

• Adaptability: Ability to adapt to changing regulatory environments and business needs.