Our client has offices spread over five European jurisdictions and provides management
and administration services to corporate, institutional, investment fund and private clients.
The Legal and Compliance Department is charged with day-to-day oversight and coordination
of the Firm’s compliance with core regulatory requirements covering all businesses. The Legal,
Risk Management & Compliance teams protect the reputation of the firm and their clients. This
means guiding, educating, and anticipating where issues are likely to emerge and managing
The Compliance Function is responsible for the first line regulatory processes supporting the
businesses. The team also provides compliance support and advice Core areas included, but are
not limited to: Transaction Reporting, Client Reporting, Record Keeping, Client Assets, Client
Categorisation, Disclosure of Interest and Outsourcing and broad compliance support across
Operations, and Finance. This role will report to the Board will have a number of direct reports.
- Compliance Advisory.
- Enhanced due diligence on complex financial structures and management of counter-party duediligence expectations.
- Providing advisory support and coverage across the various regulatory obligations overseen by the team including operations compliance, margin, client categorisation, electronic communications and record keeping.
- Provide oral and written advice to stakeholders. Such advice may be general in nature or specific, for example, to regulatory change, transactions, new business initiatives, ordinary course of business enquiries and exceptional situations Participate in / lead as appropriate strategic projects and initiatives with other legal and compliance professions, including helping to scope projects, deliver workstreams and implement action plans.
- Providing support and coverage in regard to the compliance and legal teams monitoring, overseeing and undertaking specific checks to monitor compliance with relevant Regulations and internal policy.
- Strong working knowledge of Operations / Infrastructure Compliance requirements for example MiFID and FATCA.
- Excellent presentation and interpersonal skills – ability to communicate clearly and concisely both in person and in writing.
- Strong collegial approach with ability to build relationships of trust with members of the Legal and Compliance department and employees in the finance and company management functions.
- Entrepreneurial mindset towards business opportunities
- Passionate about setting new standards and unpicking complexity
- A clear and logical thought process with a propensity to question facts and data.
- High level of attention to detail and a passion for excellence.
- Excellent analytical and numerical skills.
- Confidence to use own initiative and apply judgment.
- Ability to remain focused under pressure.
- Ability to manage multiple tasks simultaneously.
- Enthusiasm and aspiration to continue to learn and develop.