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The Compliance Manager position will be responsible for the identification, analysis, measurement, reporting, and management of compliance risk at both the corporate level and in partnership with the business units in support of their activities. In this role, you will be primarily acting as a trusted influential advisor responsible for the development, application and execution of the compliance program for Global Markets and Charles River Development. In addition, given that the position is part of the broader EMEA Global Markets Compliance team, you will have the opportunity to support the team and have visibility across all businesses transacted in EMEA by Global Markets.
As a compliance leader, you will have the opportunity to assist with developing and tailoring the oversight program to focus on critical compliance risk, business unit strategy, framework, processes and solicit engagement cross the three lines of defense for both Global Markets and Charles River Development.
Key Duties and Responsibilities:
Provide compliance advice to employees working in Charles River Development ("CRD") entities or supporting CRD integration efforts across Global Exchange and Global Markets in EMEA
Assist with the development, maintenance and execution of the compliance program, including participation in periodic risk assessments, liaising/providing advice to the compliance risk
Assist in assessing the impact of new or changes to laws and regulations applicable to CRD and Global Markets and support the business in development of action plans, procedures, and controls
Prepare business for and assist with regulatory and third party examinations
Assist with the compliance component of internal or external audits and/or regulatory examinations
Participate in business and compliance meetings/calls and contribute to the preparation of management reports
Assist with the review and update of compliance policies and procedures
Handle compliance-related queries from business colleagues and clients
Support the review of new business initiatives, products and service
Participate in global/regional Compliance and/or GM/CRD projects (as required)
Maintain and continuously develop knowledge around core GM/CRD products, the financial marketplace, and competing technology
Bachelor's degree, Masters or other advanced degree preferred
Minimum 5-7 years in financial services with experience in compliance or risk
Have a strong understanding of policies, procedures and controls
Excellent interpersonal, organizational, communication and team-working skills
Demonstrated ability to work effectively with outside parties at all organizational levels
Strong analytical skills, excellent oral and written communication skills
Attention to detail, project management and organizational skills
Aptitude to work both independently and collaboratively, manage multiple simultaneous tasks in a high-pressure, deadline-driven environment
Ability to make independent decisions, develop creative solutions to problems and manage implementation through to acceptance
Assume ownership for the delivery of projects while also operating successfully in a cross-functional team environment