CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
To assist the GS/GD UK Compliance Team in delivering all regular activities as part of the Compliance Advisory programme.
To actively promote a culture of Compliance
To provide day to day support to the GS/GD UK business
To provide support to the Head of GS/GD UKMEA Compliance, with responsibility for assigned project work as required
Specific Duties: To support the successful design and execution of the Global Services/Global Delivery UK Compliance Oversight Program.
Assist and support the GS/GD UK Compliance team in the assessment of Compliance risk and execution of the regulatory Compliance oversight programme for GS/GD UK and associated legal entities, ensuring compliance with the UK Financial Conduct Authority and Prudential Regulation Authority rules.
Assist in the design and oversight of CRMT in delivering a robust and comprehensive monitoring and surveillance plan for GS/GD UK.
Lead the administrative integrity of the GS/GD UK Compliance Oversight Program tools including Advisory Tracker, change control, Archer, etc.
Develop and maintain good working relationships with the business where required, providing advisory support to assist with regulatory queries, and ensuring closure of any Compliance issues within a timely manner.
Assist with the preparation of written reports for Senior Management on the delivery of the Compliance programme and the Compliance risk opinion, indicating progress achieved and any significant matters requiring attention.
Identify training needs and facilitate successful implementation of Compliance training and education for relevant staff within the GS/GD UK business lines. Coordinate with other UK Compliance teams to ensure consistency where appropriate.
Ensure the effective communication of Compliance policies and their key requirements to staff as required. This may include developing, implementing, promoting and maintaining compliance standards.
Keep abreast of regulatory and legislative updates or changes. Contribute to analysis and interpretation of the regulation and legislation (new and current as required). Provide feedback to peers and business stakeholders within the Regulatory Change Forum as and when required. Participate in the Policy and Technical Working group as required.
Participate in client due diligence responses including Request for Proposals/Information, due diligence questionnaires, as well as presenting on the Compliance oversight programme in client due diligence meetings.
Assist in governance activities and contribute in the review of relevant materials e.g. NCAM, OAD. Proactively identify and escalate any issues and weaknesses in the governance structure and promote the governance requirements as identified within the State Street model.
Review and approval of material covered by the Marketing Materials, Collateral Materials and Communications Policy via Adtrax.
Skills & Experience Required
Prior and proven Compliance, Risk Management or Audit experience
Proficient in compliance risk assessment with ability to identify compliance risk
Familiar with the regulatory environment applicable to our UK business
Strong planning and organisational skills
Excellent stakeholder management
Adaptable to change and shifting priorities
Proficient in learning new information and using this to support decision making