Join a team that involves monitoring, reviewing, and challenging on the processes, risks and controls related to the product offerings within Securities Services to demonstrate compliance with regulatory requirements. 

As a Compliance Risk Management Officer in the EMEA Securities Services team, you will work closely with various departments to implement and maintain effective compliance frameworks. You will be a key point of contact for regulatory-related queries and audits. This role requires a strong understanding of Securities Services and associated regulatory requirements, strong analytical skills, and the ability to work collaboratively with various departments to ensure compliance and mitigate risks.  

Job responsibilities 

Monitor and assess the effectiveness of new and existing regulatory controls and procedures, providing challenge and advice with regards improvements to the LOBs where necessary. 

Ensure the line of business complies with all applicable laws, regulations, and industry standards 

Support the LOBs with the regulatory exams, inspections and requests, this will entail reviewing documentation, materials, responses and providing guidance and challenge. 

Attend meetings (internal, preparatory and/or external)  along with further sessions as required by regulators, auditors or relevant governance meetings to provide updates from a 2LOD/CCOR perspective.  

Review and support the business in reviewing and updating policies and procedures in line with regulatory changes and industry best practices. 

Provide input to legal entity compliance risk assessments and identify potential areas of vulnerability 

Monitor compliance activities and prepare reports for senior management and regulatory bodies where required.  

Work closely with internal stakeholders, including finance, other compliance teams, operations, and legal teams,  

Provide expert advice and guidance on compliance-related matters to senior management and other relevant parties across the 3 x LODs.  

Stay up-to-date with changes in regulations and industry trends, ensuring that the organization remains compliant and competitive.  

Required qualifications, capabilities, and skills 

Bachelor’s Degree or equivalent. 

In-depth knowledge of the Securities Services business  

Superior analytical and interpretative skills.  

Demonstrated capability to learn quickly and manage multiple demands. 

Strong written and oral communication and ability to provide credible advice and challenge, and partnership-building/teamwork skills. 

Ability to identify potential issues and/or areas of improvement. 

Preferred qualifications, capabilities, and skills 

Have relevant compliance, regulatory consulting, regulatory audit, regulatory risk, legal or controls experience. 

Ethical Standards: High level of integrity and ethical standards. 

Adaptability: Ability to adapt to changing regulatory environments and business needs.