Compliance Risk Management Officer/Lead - VP Securities Services

Join a team that involves monitoring, reviewing, and challenging on the processes, risks and controls related to the product offerings within Securities Services to demonstrate compliance with regulatory requirements. 

As a Compliance Risk Management Officer in the EMEA Securities Services team, you will work closely with various departments to implement and maintain effective compliance frameworks. You will be a key point of contact for regulatory-related queries and audits. This role requires a strong understanding of Securities Services and associated regulatory requirements, strong analytical skills, and the ability to work collaboratively with various departments to ensure compliance and mitigate risks.  

Job responsibilities 

• Monitor and assess the effectiveness of new and existing regulatory controls and procedures, providing challenge and advice with regards improvements to the LOBs where necessary. 

• Ensure the line of business complies with all applicable laws, regulations, and industry standards 

• Support the LOBs with the regulatory exams, inspections and requests, this will entail reviewing documentation, materials, responses and providing guidance and challenge. 

• Attend meetings (internal, preparatory and/or external)  along with further sessions as required by regulators, auditors or relevant governance meetings to provide updates from a 2LOD/CCOR perspective.  

• Review and support the business in reviewing and updating policies and procedures in line with regulatory changes and industry best practices. 

• Provide input to legal entity compliance risk assessments and identify potential areas of vulnerability 

• Monitor compliance activities and prepare reports for senior management and regulatory bodies where required.  

• Work closely with internal stakeholders, including finance, other compliance teams, operations, and legal teams,  

• Provide expert advice and guidance on compliance-related matters to senior management and other relevant parties across the 3 x LODs.  

• Stay up-to-date with changes in regulations and industry trends, ensuring that the organization remains compliant and competitive.  

Required qualifications, capabilities, and skills 

• Bachelor’s Degree or equivalent. 

• In-depth knowledge of the Securities Services business  

• Superior analytical and interpretative skills.  

• Demonstrated capability to learn quickly and manage multiple demands. 

• Strong written and oral communication and ability to provide credible advice and challenge, and partnership-building/teamwork skills. 

• Ability to identify potential issues and/or areas of improvement. 

Preferred qualifications, capabilities, and skills 

• Have relevant compliance, regulatory consulting, regulatory audit, regulatory risk, legal or controls experience. 

• Ethical Standards: High level of integrity and ethical standards. 

• Adaptability: Ability to adapt to changing regulatory environments and business needs.