Compliance Senior Associate

JOB DESCRIPTION:

The Compliance Senior Associate within the EMEA Trade Repository Compliance Team supports efforts to foster CLIENT's compliance with applicable laws and regulations within the UK and the EU. This is done through interaction with applicable regulators; the development, drafting, updating, distribution and maintenance of written policies and procedures, as they relate to all business units and functional areas across CLIENT and its subsidiaries; interaction with and understanding of the business; and meeting regulatory reporting obligations as they fall due.

RESPONSIBILITIES:

• Evaluating and responding to new and changing UK and European national administrative laws and regulations, as well as international standards.
• Interacting with the FCA and ESMA and other regulatory authorities in response to compliance requirements, examinations, inspections, inquiries and requests.
• Owning the periodic and ad hoc reporting requirement operations, ensuring regulatory requirements are met.
• Collaborating with wider Compliance teams worldwide and other CLIENT divisions to maintain or create effective and compliant controls.
• Monitoring compliance with internal policies and procedures.
• Identify, investigate and track issues or potential issues as they arise in the course of business. Escalate and propose remediation to any such potential issues promptly.
• Manage multiple, simultaneous projects contributing to compliance testing, training, and compliance-driven investigations as they arise in the course of duties under limited supervision.

QUALIFICATIONS:

• Minimum of 6 years' experience with 3 or more years of financial services industry, preferably in documentation roles, or related experience in compliance, legal or regulatory functions.
• Great stakeholder management skills across business functions
• Desire to work in a Compliance team and work closely with key European Regulators like the FCA, ESMA and EU member state authorities.
• Degree educated or equivalent
• Masters degree in related discipline preferred
• Excellent written and verbal communication skills
• Proficient in MS Office skills: Excel, Word and PowerPoint are a must.

ABOUT CLIENT:

CLIENT safeguards the financial markets and helps them run efficiently, in times of prosperity and crisis. We are uniquely positioned at the center of global trading activity, processing over 100 million financial transactions every day, pioneering industry-wide, post-trade solutions and maintaining multiple data and operating centers worldwide. From where we stand, we can anticipate the industry's needs and we're working to continually improve the world's most resilient, secure and efficient market infrastructure. Our employees are driven to deliver innovative technologies that improve efficiency, lower cost and bring stability and certainty to the post-trade lifecycle.

CLIENT proudly supports Flexible Work Arrangements favoring openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork. When you join our team, you'll have an opportunity to make meaningful contributions at a company that is recognized as a thought leader in both the financial services and technology industries. A CLIENT career is more than a good way to earn a living. It's the chance to make a difference at a company that's truly one of a kind.

Skills : ,Compliance,Financial Industry,Excel,Word,PowerPoint,Stakeholder Management