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Head of Compliance UK and Mainland EMEA - London

Requisition Number: 050340 Job Description: • As part of the senior management team, provide leadership and guidance to the planning, organisation, direction and control of the activities in the EMEA Global Compliance function • Set priorities and goals for the UK&ME Compliance function in the context of corporate policies and frameworks • Lead and coordinate the regulatory oversight and support provided by the UK & ME Compliance function to the EMEA Business Units including, the identification of key risks and the development, implementation and monitoring of mitigation plans • Identify and assess impact of key regulatory changes and ensure business understanding • Provide technical regulatory advice to business in the context of proposed new locations, activites, services etc • Ensure that the EMEA Global Compliance function is adequately resourced, that the performance management process is followed and that training and development needs are identified and addressed • Execute the responsibilities of an approved person performing a significant influence function in accordance with the guidance and principles set out in the Northern Trust UK Governance Manual Direct and dual* reports • Multiple UK direct reports • 1 direct report in Saudi • 1 direct report in Luxembourg Internal key stakeholders: • CEO and Board Members of NTGS,NTC- LB • Committee Members • NT Partners External key stakeholders: • Regulators including PRA and FCA(UK), FED (US), SEC (US), IDFPR (US),), DNB (Netherlands), CSSF (Luxembourg) • External Auditors • External Advisors • Clients PLEASE NOTE: This role is an Approved Person; Controlled Function category 10 - Compliance Oversight for NTGSL, TNTCLB, Knowledge/Skills:
  • Knowledge/Skills Essential: ·
  • Graduate ·
  • Experience working in regulatory compliance in a senior position at a major asset servicing/ investment management firm or experience working in a senior position within a professional services firm or experience working at a relevant regulator ·
  • Proven track record of management and leadership effectiveness with an ability to motivate, engage and develop teams so as to establish a positive and effective working environment ·
  • Well-developed management and leadership skills with an ability to manage staff remotely including some travel ·
  • Effective communicator with the ability to articulate concepts and develop an argument in an environment of assertive executives ·
  • Builds effective networks and relationships cross function/location to facilitate effective teamwork and communication ·
  • Experience of/familiarity with the UK regulatory environment especially SYSC, COBS, CASS, COLL etc
  • Desirable ·
  • Relevant professional qualification ·
  • Previous experience dealing with a primary regulator ·
  • Previous experience as an Approved Person in an PRA/FCA regulated business Thorough Understanding of: ·
  • The challenges faced by senior management operating within a UK regulated financial services firm ·
  • The UK regulatory regime, in particular the application of PRA and FCA regulations to enable identification of potential issues that may arise ·
  • The corporate and local laws and regulations that affect this business ·
  • Business Unit activities, compliance related requirements and risk mitigation techniques ·
  • Control deficiencies, and the necessary analytical skills required to identify and rectify inadequacies Understanding of: ·
  • The strategic and business issues faced by the firm and its business sector across the different regions within EMEA
Major Duties:
    • Oversee, plan and direct the development, implementation, operation, maintenance and control of essential information, policies, procedures and support systems within the UK&ME Compliance function
    • Active involvement in Oversight Committees, participation in other relevant forums and in day-to-day interaction with staff
    • Sponsor/manage projects with relevance to the UK&ME Compliance function
    • Seek opportunities to develop and enhance the local and corporate Northern Trust Brand, including representing Northern Trust at appropriate public forums
    • Enhance the profile and visibility of the UK&ME Compliance function
    • Promote the highest standards of integrity
    • Promote cross-region coordination of the UK&ME Compliance function policies and procedures
    • In collaboration with Global Practice Leaders, coordinate execution and implementation of best practice in the UK&ME Compliance function to improve the performance of operations for both internal and external clients
    • Develop and maintain effective relationships with internal stakeholders, all appropriate regulatory bodies and other relevant third parties e.g. external advisors
    • Manage the UK&ME Compliance function including coordinating with HR regarding the following for all direct reports
    • staffing
    • performance management
    • compensation
    • training
    • Member of EBOC (EMEA Business Oversight Committee)
    • Member of ERC (EMEA Risk Committee)
    • Member EMEA Depositary Council
    • Member Regulatory Assessment Group
    • Operating & Legal Entity Steering Group
    • CASS Oversight Council
    • Ensure the short-term (tactical) and long-term (strategic) goals and requirements of the l Compliance function are properly supported by:
    • A robust infrastructure
    • Sufficient resource
    • An appropriate balance and mix of expertise
    • Sponsorship/management of projects with relevance to the EMEA Global Compliance function
    • Encourage an environment where adherence with compliance is an intrinsic part of the culture and day-to-day operations within Northern Trust
    • Lead a team of individuals, and ensure that the performance management process is adhered to. In addition ensure that training and development needs are identified and addressed
    • Encourage an environment of employee participation, teamwork and open communication within the EMEA Global Compliance function
    • Ensure adequate systems and controls are in place such that all EMEA Global Compliance functions:
    • Comply with all legal and statutory requirements applicable to such functions, including but not exclusively PRA, FCA, IDFPR, FED and SEC regulations, employment legislation, health and safety and corporate governance
    • Comply with any applicable corporate policies, local standards and service agreements
    • Balance the interests and requirements of clients and the bank
    • Ensure own compliance by acquiring, maintaining and applying to business practices knowledge of all major corporate and local legislation and regulations relevant to own role and responsibilities
    • Ensure the provision of accurate and timely reports to the relevant Boards and oversight Committees to allow them to fulfil their own oversight and governance roles
    • Manage all aspects of function with due skill, care and diligence including effective controls, risk management and mitigation and delegation of activities to appropriately skilled and competent persons
    • Ensure the highest standards of Corporate Governance in the context of the relationship of each subsidiary with its parent
    • Budget = Oversee the management and control of the cost budget for the EMEA Global Compliance function
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