Summary: Responsible for acting as a general Compliance Specialist in the UK to the in-scope Asset Servicing entities.
Major Duties:
Serve as the senior Compliance Specialist subject matter within the Asset Servicing UK Legal Entity Compliance team across all applicable entities and compliance programme requirements.
Acts as a conduit between the UK Legal Entity Compliance Oversight team, Global Compliance Framework team and Global Regulatory change programme.
Act as the Compliance Specialist providing Asset Servicing entity support for all Compliance matters.
Have a sound understanding of the FCA and PRA regulatory environment including COBS, CASS, SYSC, DISP, COLL, FUND, MIFIDPRU
Be an active participant in the identification and implementation of improvements to benefit the wider EMEA Compliance sphere to ensure a best-in-class service is provided to all stakeholders.
Execute the compliance programme deliverables including the compilation of EMEA wide metrics, identifying trends and the onward reporting requirements in the global compliance and legal entity structure.
Own the content and accuracy thereof of the Compliance Risk Assessment (CRA) for the allocated regulations as part of the broader CRA programme of work.
Feed into the maintenance and where relevant creation of policies in scope of the Asset Servicing Compliance remit.
Knowledge/Skills:
Knowledge of the regulatory environment the UK Asset Servicing entities operate in
Relationship Management skills
Adaptable and agile approach
Ability to write in a concise and accurate manner.
Proven organisational and multitasking skill set.
Strategic thinker
Experience:
Knowledge of FCA landscape and relevant laws applicable to a custody bank operating globally and servicing professional clients.
Knowledge of the Depositary regulatory environment
Excellent communication (verbal and written) and interpersonal skills.
