Senior Specialist Compliance Control

Wrocław

Senior Specialist Compliance Control
Wrocław
NR REF.: 1126214


Your new company
A global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving more than 100 markets. A leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.


Your new role

You will take on responsibility for delivering timely and thorough compliance monitoring reports as detailed in the annual monitoring program covering all Investment services business functions.You will assist the Compliance Monitoring Manager’s (CMM) in both the US and UK, in the execution of the respective programs and assessing the current/emerging risks concerning the business to enable determination of the structure and composition of the annual monitoring programme. This is achieved primarily through the following:

• Ensuring that personnel align to both jurisdictions are executing compliance monitoring reviews in a timely and thorough basis
• Conducting thematic compliance monitoring reviews in line with the global methodology and ensuring evidence is retained of such
• Engaging with the respective CMM’s to ensure that scheduling, training and preparation is undertaken to ensure an efficient and effective delivery against pre-determined timescales.
• Liaising with the business and Senior Management in respect to ongoing monitoring and management of open compliance actions as a result of thematic monitoring
• Providing timely and accurate Management Information where relevant to internal stakeholders
• Representing at relevant industry events/ forums.
• Participation in Risk/Committee or Client Meetings and represent externally as required

Therefore, the jobholder should be prepared to travel.

Key Responsibilities

• Ensure that all compliance monitoring is completed in accordance with the annual monitoring program on time and to a high standard in line with the global compliance monitoring methodology Ensure that all compliance monitoring is completed in accordance with the annual monitoring program on time and to a high standard in line with the global compliance monitoring methodology
• Ensure that all findings identified within an allocated review are accurately recorded on EV GCMS and that proactive actions are taken to ensure satisfactory resolution of issues raised
• Proactively chase outstanding and overdue issues and reflect updates on EV GCMS in line with the requirements of the global methodology
• Represent Compliance at internal meetings and Committees where required
• Represent Compliance on external committees, working groups, and trade body seminars if required to do so
• Represent Compliance at client meetings where required to provide updates in respect to monitoring.
• Training junior members of the team

Generic Staff Responsibilities

• Comply with all corporate policies and procedures, including HR policies and procedures
• Alert management including the Chief Risk Officer and / or the EMEA Chief Risk Officer immediately of any significant changes to business risks and internal control effectiveness.
• Notify management and/or the Chief Compliance and Ethics Officer and Head of International Compliance immediately on discovery of any material regulatory breach.
• Comply with all Security and Health & Safety policies and procedures operating within the business.
• Complete all mandatory training and ensured any external training undertaken has been recording in the training system (Saba) and obtain or maintain all qualifications that may be required in order for you to perform your role.

What you'll need to succeed

• 7-10 years of total work experience preferred.
• Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.
• Client Focus – demonstrates clear understanding of importance of effective customer service, internally and externally
• Integrity - acting with the highest ethical standards for our company, our employees and our clients
• Teamwork – fostering collaboration and diversity to empower employees to build relationships and deliver insights
• Excellence” – Setting the standard for leading-edge solutions, innovation and continuous improvement

What you'll get in return

• Full time contract of employment
• Competitive salary
• Health & Life Insurance
• Multisport card / Cinema Tickets / Nursery subsidiary
• Pension scheme
• Excellent opportunities for training, growth and professional development
• Opportunities to engage in diverse projects due to growth of business migrations
• A multitude of opportunities to get involved in additional charity projects
• A collaborative culture and great teams

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.