Paris Markets Compliance - VP
Paris Markets Compliance - VP
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Job Description
The Compliance team provides essential oversight and support to both the Frenchbased and global Markets teams. Your role involves offering timely riskbased advice on regulatory matters including realtime interpretations and decisions in highpressure situations. You will contribute thought leadership to regulatory change management and ensure welldocumented input into business initiatives such as reviewing new product proposals and business reorganizations to identify regulatory and control issues.
As a Compliance Risk Management Lead in the Markets Line of Business based in Paris you will provide scheduled and adhoc training ensure accurate monitoring and testing and identify assurance activities. You will oversee compliance policies and documentation actively participate in risk assessment and calibration and contribute to regulatory inquiries and investigations. Additionally you will prepare materials for defence recipients represent compliance at forums and manage policy violations in collaboration with HR Legal and other stakeholders.
Job Responsibilities:
- Provide credible timely and riskbased advice challenge and support on regulatory matters including live regulatory interpretations and decisions in highprofile or timeconstrained situations.
- Offer thought leadership and compliance input to regulatory change management.
- Deliver timely and welldocumented input into business initiatives consistent with the firms regulatory and reputational risk tolerances such as new product proposals business reorganization and review of specific initiatives or transactions to identify regulatory and control issues for example bespoke corporate derivative transactions.
- Conduct scheduled and adhoc training for the business.
- Complete monitoring and testing activities accurately and timely while identifying assurance activities.
- Identify implement and review compliance policies procedures and additional documentation.
- Actively participate in the identification assessment challenge and calibration of risks.
- Contribute to responses to regulatory and exchange inquiries investigations and exams.
- Prepare materials for First and Second Line of Defence recipients and act as a compliance representative at relevant forums.
- Oversee the disposition and issuance of policy or conduct violations partnering with HR Legal and other internal stakeholders.
Required qualifications capabilities and skills
- Familiarity with Markets structures and products
- Knowledge of key financial services regulation applicable to Markets (e.g. MiFID MAR) and recently regulatory developments (e.g. Retail Investment Strategy)
- Able to work independently and have sufficient experience to know when to escalate an issue is essential
- Can do attitude with the willingness to help others in the team and external to the team
- Possess a highlevel of attention to detail and focus on the quality for their work product
- Being proactive able to think critically about the information presented to them comfortable with subjective situations and ready to ask appropriate questions and effectively challenge
- Willingness to go above and beyond to deliver excellence
- Strong communication and presentation skills with the ability to translate complex regulatory issues into comprehensible messages for a range of audiences and levels and engage with a range of different stakeholders
- Ability to consider the regulators position and understand anticipate and react positively to their requirements and demands.
Preferred qualifications capabilities and skills
- Good understanding of broader French regulatory requirements would be beneficial
- Relevant experience of performing a similar role at a global investment bank would be a significant advantage
Required Experience:
Exec
Employment Type
Full-Time
