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Support the Head of Compliance and Compliance management team in the review of the policy and control framework, projects including working on the integration with the bank to align policy and control frameworks
Support the Head of Compliance and the Compliance management team and act as the MiFID II & EMIR SME
Act as Compliance projects coordinator and owner to ensure workflows are clearly identified and assigned with clear timescales for delivery
Act as SME for key regulatory focus such as transaction reporting, Libor discontinuation and other infrastructure matters, Brexit impact and new offices to be opened.
Review MI packs and contribute towards improving these as required to comply with all regulatory and internal policies and procedures, regulations and guidelines.
Contribute to the compliance process for Horizon scanning
Proactively consider, and where appropriate, suggest Compliance initiatives which would have a positive impact on the Compliance Department, other teams or CM Ltd in general.
Other activities include
Carry out ad hoc compliance projects
Liaise with other Compliance Officers within the group
Identify areas of interest where you can become a subject matter expert, continuing to lead the Compliance Team and the firm in the right regulatory direction.