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Compliance Officer - Policies - MiFID II Implementation
The Compliance Policy and Training team sits within the larger Compliance function which supports the EMEA Corporate and Investment Bank. It is responsible for the oversight and coordination of the development and maintenance of policies, manuals and procedures that support compliance with applicable regulatory obligations across the region, as well as contributing to the implementation of global policies.
The Compliance Policy Team is recruiting for a skilled, experienced, officer with a legal, policy, regulatory or compliance background to work on the MiFID II compliance policy implementation programme.
The ability to interpret the impact of the regulation and translate this into policy language which staff of all grades and technical experience can understand is key, as is the ability to think, plan and execute in an organised fashion. This role will report to one of members of the Policies team. The grade of the role will be dependent on the person's level of experience.
Requirements of the role
The successful candidate will be required to:
Draft new regional compliance polices and updates to EMEA and global compliance policies in order to translate the requirements of MiFID II/MIFIR into internal requirements for the business to follow
Syndicate the policy amendments with regional and global subject matter experts and line of business compliance leads in order to obtain their feedback and agreement on proposed approach
Ensure that the policy amendments are approved through the Firm's governance processes within set timeframes
Assist with socializing the approved policy updates, including publishing on the Firm's policy portal and assisting with preparing materials to inform staff about the policy changes
Assisting with tracking and ensuring that policy amendments are approved within the Firm's deadlines
Experience & Qualifications required
Broad and current understanding of the MiFID II rules
Demonstrable experience of drafting and executing policies and procedures
Must have excellent analytical, communication and negotiation skills
Must be able to meet all the required regulatory expectations in a changing and challenging compliance landscape plus have excellent time management skills and be able to meet tight deadlines
Must be able to manage dialogue with stakeholders (e.g. country and product compliance leads, other control functions and the business itself)
Must be a strong team player
Have a good understanding of market structures, products, market abuse regulation, Chinese wall structures, Conflicts of Interests etc