Vice President - Regulatory Compliance

Principal responsibilities:

- Ensure compliance is a core focus in the areas of responsibility and embedded into the culture of the organisation.

- Ensure positive and professional working relationships with internal and external stakeholders incl Compliance function colleagues and regulators.

- Maintain active participation and good attendance in assigned committees and working groups, provide oversight and control as it relates to compliance policies, procedures, risk management and regulatory requirements.

- Positive feedback from Global and Regional Markets & Compliance Management, Business Stakeholders and Line Manager(s).

- Build and ensure strong relationships with key stakeholders and team members

- Analyse stakeholder goals vs regulatory requirements and effectively manage their expectations, addressing any misalignment

- Maintain contact with key senior Stakeholders and Compliance management to identify and issues
communicate status, progress, risks and issues

- Positive feedback from Global and Regional Markets & Compliance Management, Business Stakeholders and Line Manager(s).

- Collaborative working relationships established with relevant key stakeholders.

Qualifications:

- Experience of operating within a Regulatory Compliance/Risk or Control type role, and knowledge of MiFID Trade and Transaction Reporting requirements would be essential.

- Experience and/or a practical understanding of financial products, e.g., foreign exchange, equities, fixed income, exchange traded derivatives, OTC derivatives.

- A good understanding of Risk: regulatory, operational and reputational.

- Strong analytical skills with an ability to understand complex workflows paired with meticulous attention to detail.

- Excellent communication skills to clearly articulate issues and ideas and provide timely escalation.

- Experience and/or practical understanding of other areas of MSS Operations function, e.g., collateral, confirmations, settlements, would be beneficial.