Compliance Officer Surveillance, Monitoring - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Welcome to Natixis

At Natixis, we create tailor-made solutions in Asset & Wealth management, Corporate and Investment banking, Insurance, and payments, with over 12,000 staff members in 38 countries.

At Natixis, you have a great opportunity to join an entrepreneurial, agile and growing organisation, and to be part of an inspiring team.

We offer a competitive remuneration package and generous total reward package and as an inclusive employer, we are alsoopen to considering flexible working arrangements.

We continuously work to create an environment that promotes diversity and inclusion in all its forms, across gender, race, religion, sexual orientation, disability, ethnicity and background.

We believe thiscreates equal opportunities for our employees - and better outcomes for our clients and communities.

Overall purpose of the role:

The objective of the UK Compliance Controls department is to ensure that activities of Natixis - London branch comply with compliance policies, relevant procedures, and applicable regulatory standards by delivering a comprehensive monitoring, testing andsurveillance program.

Although the role is predominantly focused on the monitoring & testing pillars, the Compliance Controller (VP/Manager level) may also be asked to support initiatives and get involved in projects under the wider remit of Compliance Controls.

Main responsibilities of the role:

As a member of the UK Compliance Department, the Compliance Controller will:

Independently plan, scope, and execute Annual Control Testing and Monitoring Plan by conducting thematic and/or ad-hoc compliance reviews over business and operational activities of Natixis-London branch and the UK based CIB M&A boutiques.
Effectively liaise with all relevant stakeholders across all stages of the review process (i.e., planning / fieldwork / reporting / action followup).
Contribute to the risk assessment process on various compliance topics.
Manage and take ownership in leading the remediation of compliance identified issues.
Ensure that review documentation and evidence is maintained in in line with applicable recordkeeping requirements.
Perform quality assurance reviews over outsourced or nearshored compliance operational activities.
Contribute and support the production of Management Information.
Assist in adhoc compliance investigations.
Effectively escalate all issues and other matters of interest to management and/or wider compliance organisation.
Contribute towards the continuous enhancement of Compliance Controls processes.
Collaborate with Compliance colleagues across multiple jurisdictions to support global projects in strengthening the control frameworks.

Key skills required:

Prior Compliance, Compliance monitoring/testing or audit experience within a UK based corporate and investment bank or professional services firm.
Strong knowledge of UK regulatory landscape and up to date with the regulatory change impacting the UK.
Strong understanding of various asset classes, financial products and investment banking activities.
Past involvement with Conduct Risk (e.g., involved in the build out or the operational aspect the Conduct Risk frameworks).
Strong relationship management skills to deal with management and build partnerships across Compliance function and wider organisation.
Excellent oral and written communication skills.

- 'Hands-on' approach with strong problem-solving skills.