Senior Compliance Officer Global Markets
Senior Compliance Officer Global Markets and Treasury – Management role
The Compliance function is a second level control function of the Group. It is an independent and hierarchically integrated function. The overall mission of the Compliance function is to give reasonable assurance to senior management, that compliance, regulatory and reputational risks are monitored, controlled and mitigated as relevant.
To provide clear and appropriate compliance related advice to the business.
This includes undertaking critical analysis to inform decision making and guidance provided to the business and Compliance colleagues (e.g. via New Activity, New Product, Transaction Approval and Client Acceptance Committees (i.e. NACs, NPCs, TACs and CACs), review of marketing material; ad hoc business queries).
To be the local Compliance ‘subject matter expert’ for Financial Market (FM) related activities (i.e. for Global Markets and ALM Treasury business lines and legal entities).
This includes knowledge in the context of the key compliance themes of: Financial Security / KYC; Market Integrity; Protection of the Interests of Clients; and Professional Ethics.
- Risk Management: Undertake appropriate activities to identify, measure, monitor, mitigate and report compliance risk.
- Regulatory Change: Responsible for identifying, communicating and assessing key regulatory developments relating to FM topics.
- Policies: To facilitate the full implementation of relevant Group / Activity compliance policies relating to FM. To supplement these with local policies where required.
- Training & Awareness: To ensure effective an effective training and awareness programme for staff (and Compliance colleagues) in regard to FM topics, increasing knowledge and promoting a culture of compliance.
- Oversight / Assurance: To implement or oversee arrangements in regard to ‘compliance monitoring’ / second level controls over FM related compliance activities.
- Communication / Reporting: Responsible for maintaining clear and open communication / liaison with key stakeholders, including central FM Compliance.
- Development of the Function: To actively lead and participate in the development of the Compliance function.
- At least 5 – 10 years Senior Compliance lead within a Bank looking after Global Markets Banking / Investments and alternative market treasury
- Significant experience: in the business as FM Front Officer; or as a FM Compliance Officer; or as an IG auditor.
- Preferable good knowledge and understanding of major Markets Regulations (such as MIFID, EMIR, FATCA, DFA).
- Graduate studies in Finance, Economics, Law, or equivalent.
- Fluent English, if possible another European language.
- At ease with basic IT tools (word, XL, PowerPoint).
- Ensuring accuracy and an attention to detail.
- Ability and willingness to question assumptions, perform critical analysis and provide challenge to management (and colleagues) when appropriate.
- Able to operate with appropriate autonomy, take ownership of key areas of responsibility and meet challenging deadlines.
- Able to clearly and concisely communicate with staff at all levels, in both oral and written forms.
- Able to debate and explain complex topics and principles.
Further details, please contact Barbara Donnellan – 01 474 4512