Head of EMEA Securities Finance Compliance Head of EMEA Securities Finance Compliance …

State Street
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Competitive
State Street
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Competitive
State Street
Head of EMEA Securities Finance Compliance
Head of EMEA Securities Finance Compliance

State Street Global Markets (SSGM) Compliance team is looking for an experienced compliance professional to join their advisory team to act as the Head of EMEA Securities Finance Compliance.

The role offers the successful applicant an opportunity to work closely with regulators in the EMEA region, as well as senior members of the Compliance leadership team and business management throughout the EMEA region and globally. Reporting into the Head of EMEA Global Markets Compliance, the successful applicant will lead the advisory compliance function for Securities Finance (SF) in EMEA.

Key responsibilities:
  • Act as SME for the provision of regulatory advice to the Securities Finance business and the marketing thereof across EMEA;
  • Collaborate with other members of the Compliance department in relation to compliance issues on a global basis;
  • Advice the business about relevant Compliance Risks to guide the prioritization of efforts needed to manage such risks;
  • Monitor, analyse and interpret regulatory changes and work alongside the business to ensure compliance with new regulations;
  • Develop and sustain strong productive day-to-day relationships with internal and external stakeholders;
  • Coordinate the response to EMEA regulatory exam findings, including tracking and monitoring completion of the recommendations;
  • Oversee the execution of required monitoring activities performed by the Compliance Risk Monitoring team;
  • Actively participate in the review of new business initiatives, products and services, including requests for proposal and marketing materials to ensure regulatory compliance requirements are addressed, as applicable;
  • Ensure that appropriate compliance-related management information is produced and reviewed at appropriate intervals;
  • Work closely with business management to establish an appropriate compliance culture throughout the business.
Position Requirements:
  • Educated to university degree level or equivalent;
  • Experience in a compliance advisory role or in securities finance/prime broker business would be a distinct advantage;
  • Highly organised and efficient, with the ability to multi-task and meet tight deadlines with a high degree of flexibility and excellent time-management skills;
  • Experience of working with, advising and influencing senior members of other departments and global leadership;
  • Experience in managing regulatory inspections/examinations in a financial services environment;
  • Excellent drafting and communication, skills with great attention to detail.
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