EUI Compliance Senior Manager Covering Data, Personal Data, Compliance Risks
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Job Summary
About Euroclear
Euroclear is a financial market infrastructure that provides settlement and related services for domestic and international securities transactions. Euroclear UK & International (EUI) operates regulated market infrastructure services in the UK and is part of the Euroclear Group.
The role
We are seeking a Senior Compliance Manager to support the EUI Compliance function in the design implementation and maintenance of a risk based compliance framework. The role provides independent second line oversight and challenge to the business on compliance risks.
The role also acts as the Senior Manager responsible for Data and Personal Data supporting the EUI Data Protection Officer.
The position reports to the EUI Chief Compliance Officer and has no direct reports.
- Key responsibilities
Compliance oversight and advisory
- Provide guidance and objective challenge to the business on the management of compliance risks.
- Undertake compliance monitoring activities in line with the EUI Compliance Plan.
- Ensure the EUI Compliance framework is robust effective and appropriately embedded across the organisation.
- Produce management information and reporting on the effectiveness of EUIs management of compliance risks.
- Support the business in implementing changes to processes and procedures arising from new or amended regulatory requirements including initiatives to enhance the control framework where required.
Governance and committees
- Attend EUI committees and forums as required.
- Prepare committee papers and updates where necessary.
Business partnership
- Act as a trusted advisor to the business while maintaining independent second line compliance oversight.
- Provide compliance review and challenge of first line activities and committee papers.
- Maintain effective working relationships across the three lines of defence to support a strong internal control environment and clear risk ownership within the first line.
Policies procedures and training
- Review and provide feedback on policies procedures frameworks and systems relating to compliance risk management and reporting.
- Draft compliance policies and procedures where required.
Prepare and deliver compliance training and maintain appropriate records.
Group and regulatory engagement
- Support effective liaison with the ESA Conduct & Ethics Division and other Group Compliance teams.
Data protection responsibilities Supporting the EUI Data Protection Officer including:
- Informing and advising EUI and its employees on obligations under the GDPR Data Protection Act 2018 and other relevant data protection legislation.
- Monitoring compliance with data protection requirements including internal data protection activities data protection impact assessments and staff training.
- Acting as a point of contact for the Information Commissioners Office and for data subjects.
- Maintaining confidentiality in the performance of data protection duties.
- Attending Group DPO White Boards on behalf of the EUI DPO as required and sharing best practice.
Your profile
Experience and knowledge
- Relevant experience in compliance second line risk oversight or regulatory/compliance advisory roles ideally within a financial market infrastructure large financial services firm or regulatory authority.
- Detailed knowledge of Bank of England PRA and FCA requirements.
- Knowledge of CSDR CPMIIOSCO Principles for Financial Market Infrastructures.
Skills and attributes
- Experience of interacting with external regulators and supervisors.
- Strong credibility and independence of judgement with the ability to influence and challenge effectively.
- Ability to work proactively in an evolving regulatory environment.
- Strong communication influencing and presentation skills.
- Ability to manage competing priorities and meet tight deadlines.
#LI-MN#
Required Experience:
Senior Manager
About Company
Euroclear is a leading global provider of Financial Market Infrastructure services for domestic and crossborder securities transactions and funds.
