Compliance, Strategy, Finance and Governance, EMEA Global Banking and Markets – Public (GBM-Public), Executive Director, London

OUR IMPACT

Global Compliance manages the firm’s Compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. We monitor trends and changes in regulations in all jurisdictions in which the firm does business, and we develop and implement firmwide policies and procedures. In addition to advising the firm’s businesses, Global Compliance is responsible for managing audits and inquiries, educating our people on our policies and procedures, surveillance and testing the firm’s risk management infrastructure.

YOUR IMPACT

We are recruiting for a Vice President / Executive Director position to join the Strategy, Finance and Governance team within EMEA Global Banking and Markets – Public (GBM-Public) Compliance. The team focuses on delivering key strategic initiatives, implementing ‘change the bank’ regulatory initiatives (new rules and regulations as well as remediation programmes), curating governance management information to senior management (MI) and designing, scaling and executing strategic Compliance core programmes to ensure their long-term sustainability. The role provides direct exposure to senior EMEA GBM-Public Compliance leadership, businesses and other control functions. The successful candidate will help drive operational effectiveness, enhance governance processes and ensure the timely delivery of regulatory and strategic initiatives impacting EMEA GBM-Public Compliance.

RESPONSIBILTIES

• Manage the lifecycle of ‘change the bank’ regulatory initiatives for EMEA GBM-Public Compliance, including horizon scanning, participation to trade associations, advocacy, impact assessment and implementation support
• Coordinate EMEA GBM Public Compliance’s contribution to strategic remediation programmes across Equities and FICC ensuring consistent regulatory interpretation and execution of the regulatory, policy and control framework, including preparation of materials, analyses, and responses for regulatory exams and reviews
• Partner effectively with the wider EMEA GBM-Public Compliance team and the First Line of Defence (1LoD) stakeholders across GBM-Public to support alignment of regulatory, strategic and business initiatives, control/framework implementation and Compliance core program delivery
• Prepare effective MI and reporting for boards, leadership forums, committees and regulatory governance meetings to enable appropriate oversight by senior Compliance leadership
• Designing and executing strategic Compliance core programmes, with early identification of tooling, resources and support required to ensure the long-term sustainability of the regulatory intake programme in line with regulatory expectations
• Co-ordinate the support and delivery of Compliance initiatives aligned with regulatory requirements and internal programs (e.g. reg traceability, policies and procedures, training, remediation, testing and governance)