Head of Compliance Oversight - London, United Kingdom - PICTET

PICTET

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Your team:

Pictet & Cie (Europe) S.A., London Branch provides services ranging from custody, wealth management, asset servicing and trading to a wide array of domestic and international UHNW clients.
This is a unique opportunity to join the Compliance unit of the London Branch to exercice the function of Head of Compliance Oversight / SMF 16. In this role, you will act as a leader and role model of the London Branch, making sure that all employees operate in accordance with the applicable rules, regulations and internal policies. You will also have the responsibility to report and escalate your results to the management and regulators.

Your role:

In this role, your main responsibilities will be:
Implement Group directives, policies and guidelines in accordance with UK regulations (e.g. cross-border, business introducers, etc.).
Monitor that adequate controls are in place to ensure compliance with the London Branch obligations under e.g. CCO and FCA rules.
Define, propose and implement action plans to mitigate and control compliance risks as required, including reporting to London Branch Management and governance.
Partnering closely with SMF 17 Antimoney laundering Officer in the oversight of regulatory obligations.
Co-Responsible for MiFID regulation compliance in accordance with SYSC 6.1.4R(2).
Responding to PRA and FCA, or any other relevant regulatory authority.
Establishing and maintaining adequate arrangements for Compliance Oversight and other Compliance related topics (such as but not limited to Investor Protection, Market Conduct) awareness and training.

Your profile:

Your profile:
Relevant prior experience as Compliance Oversight SMF 16 officer in an international banking institution
8 years' working experience in a senior compliance function preferably in the Wealth Management / Private Banking sector
Excellent knowledge of UK and EU financial services rules and regulations (specifically those pertaining to compliance oversight matters in the provision of custody, investment management and lending services)
Prior experience in dealing and interacting with UK supervisory authorities (notably PRA/FCA)
Preferable legal background: law degree, trained solicitor or lawyer
Investment management certificate (IMC)/IMD/IAD or equivalent qualification advisable
Excellent communication skills, and strong ability to work in a team

Note:

We will not accept any CVs via agencies
Diversity & Inclusion:

**_ Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace._