Regulatory Compliance VP - Global Broker

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Job description

• Ensure the Company is compliant with all applicable regulatory requirements
• Map out regulatory obligations (including, but not limited to Client Asset Sourcebook ("CASS") Senior Managers Certification Regime (SMCR), Complaints handling, Treating Customer Fairly, Conduct Risk, MiFiD.
• Ensure ongoing compliance and identification of any enhancement opportunities.
• Plan and undertake monitoring activities as required by the FCA and other regulatory authorities, with oversight where outsourced.
• Responsible for identification, implementation and maintenance of regulatory controls to support global business development.
• Maintain the regulatory reporting calendar and ensure that all reports are produced (including supervision of Finance reporting)
• Stay abreast of new business initiatives to ensure that all regulatory obligations are considered.
• Where appropriate, manage applications to UK Regulatory authorities in a timely manner
• Liaise with regulatory, legal and banking representatives as required.
• Produce and implement regulatory compliance manuals and guides, liaising with group Risk and Compliance where applicable. UK policies reflect local regulatory requirements
• Adoption/adaption of regulatory policies and procedures.
• Identification of any additional polices needed (outside of group) to meet local requirements in the UK.
• Ensure compliance with policies and procedures.
• Identification of upcoming changes that may impact on the UK businesses.
• Plan for regulatory changes that affect the firm, working with stakeholders to produce gaps assessments and identify and execute remediation plans.
• Ensure governance reporting and oversight.
• Effective governance and oversight
• Development of key metrics and regular reporting to management, committees, board to allow informed decision to me made that account for risk. Support a culture of Compliance across the company
• Ensure staff awareness of their regulatory obligations.
• Provide subject specific training to relevant departments as required.
• Coach more junior members of the Risk and Compliance team.

Knowledge and Experience:

• Background in regulatory compliance
• Strong knowledge on banking regulations
• Experience in liaising with regulators
• Keeps up to date with the market, including regulatory change initiatives

Skills and Competencies:

• The ability to work under pressure in a fast paced environment
• Good organisational skills including prioritisation
• Clear communicator, both verbal and written
• Influencing skills, with ability to balance commercial needs and regulatory risk.
• Proficient in Microsoft Office suite of applications