Securities Services is comprised of a number of products and services which include global and direct custody, fund accounting, transfer agency, middle office, depositary services, custody foreign exchange, liquidity management, agency securities lending and depositary receipts.
To ensure ongoing support of the Securities Services business strategy in EMEA, the Securities Services Compliance team is seeking a highly motivated and experienced Compliance Officer.
The successful candidate will report to the EMEA Head of Securities Services Compliance and the Head of Line of Business Compliance for Luxembourg and assist in the compliance coverage of the Securities Services businesses for the EMEA regional team.
The key responsibilities of the role include :
Provision of advice on a wide range of regulatory and firm policy topics impacting the EMEA Securities Services business, including conflicts management, information barriers, data privacy and bank secrecy;
Assistance with implementation of new regulatory initiatives impacting the relevant products;
Assistance with the development and implementation of compliance policies;
Review and complete the compliance risk assessments for the relevant products;
Review of new business initiatives and assessment of their regulatory impact on the relevant products;
Assistance in the development and delivery of compliance training;
Participation in regulatory and client due diligence visits;
Undertake compliance monitoring activities, including raising and communicating identified issues;
Participate in management and governance meetings (where appropriate);
Work closely with the broader regional and global compliance team ensuring consistency across the teams with respect to the Securities Services compliance program and when issues are being addressed.
These points have been carefully considered as being essential for the role. Your background must accurately reflect all of these points for your application to be considered;
Bachelor’s Degree or equivalent.
Have a solid understanding of the Securities Services businesses or similar businesses
Have relevant compliance, regulatory consulting, regulatory audit, regulatory risk, legal or controls experience;
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.