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Global Markets Compliance Officer, Vice President, Hybrid

2 months ago

London, Greater London, United Kingdom State Street Full time

Who we are looking for

We are looking for a Global Markets Compliance Officer – Vice President who will primarily focus on advising internal stakeholders on implementation and development of an equities swaps trading desk, including developing relevant compliance program elements such as policies and procedures, training, risk assessments, issues management, governance and management reporting. This position will require engagement with the business, including Global Markets Sales & Trading, Global Treasury as well as with Legal, Operations, Enterprise Risk Management, Finance and Audit stakeholders. Knowledge of Securities & Exchange Commission ("SEC), Commodity Futures Trading Commission ("CFTC") and National Futures Association ("NFA") swap regulations in addition to the FCA and PRA requirements is preferred to enhance the compliance program and to satisfy their regulatory obligations.

Why this role is important to us

The team you will be joining plays an important role in the overall success of the organization. As a second line independent control function, Compliance assesses compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates and monitors for compliance risks and breaches; leads the banks' responses to regulatory examinations, audits and inquiries. We look for candidates who possess excellent analytical abilities, sound judgment, curiosity, problem solvers who are able to adapt to changing regulatory needs.

What you will be Responsible for

As a Global Markets Compliance Officer, Vice President you will:

  • Providing compliance advice to all Global Markets businesses with a focus on the equities swap dealer desk
  • Supporting the successful and timely completion of oversight program, including the identification and resolution of risks and issues which impact the compliance program delivery, while building strong relationships with compliance and business colleagues
  • Independently conduct assigned responsibilities within their section of the overall Compliance function and execute a range of complex tasks and analyses to support the business unit and department goals.
  • Assisting in responding to regulatory inquiries, audits, examinations and investigations, and liaising with regulators
  • Participating in the development, implementation, review and revisions of policies and procedures.
  • Reviewing new business initiatives, products and services, including Requests for Proposal and marketing materials to ensure regulatory compliance requirements are addressed, as applicable.
  • Providing regulatory advice for the product suite of Global Markets and the marketing thereof across the UK, EU and into overseas jurisdictions.
  • Providing regulatory support to Compliance network overseas with regard to the impact of EU/UK legislation, in particular act as primary liaison for the equities swap dealer.
  • Reviewing and assessing the impact of new regulations and work collaboratively with the impacted business to implement necessary changes to comply with them. Engage in advocacy and industry discussions on swap dealer matters
  • Designing and delivering compliance training when required.
  • Designing and executing compliance testing reviews to ensure compliance with internal policies and external applicable regulations

What we value

These skills will help you succeed in this role

  • Ability to make independent decisions, develop creative solutions to problems and manage implementation through to acceptance
  • Have a strong understanding of policies, procedures and controls
  • Excellent interpersonal, organizational, communication and team-working skills
  • Demonstrated ability to work effectively with parties at all organizational levels
  • Strong analytical skills, excellent oral and written communication skills
  • Attention to detail, project management and organizational skills
  • Aptitude to work both independently and collaboratively, manage multiple simultaneous tasks in a high-pressure, deadline-driven environment
  • Assume ownership for the delivery of projects while also operating successfully in a cross-functional team environment
  • Previous experience in a compliance advisory function covering the equities swap business is considered plus.

Education & Preferred Qualifications

  • Bachelor's degree, Masters or other advanced degree preferred
  • 10+ years' experience in compliance, legal or internal audit within an international bank
  • Compliance qualifications is considered a plus
  • Knowledge and experience with US/UK equities swaps dealer and related regulatory requirements is considered a plus

About State Street

What we do. State Street is one of the largest custodian banks, asset managers and asset intelligence companies in the world. From technology to product innovation, we're making our mark on the financial services industry. For more than two centuries, we've been helping our clients safeguard and steward the investments of millions of people. We provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients.

Work, Live and Grow. We make all efforts to create a great work environment. Our benefits packages are competitive and comprehensive. Details vary by location, but you may expect generous medical care, insurance and savings plans, among other perks. You'll have access to flexible Work Programs to help you match your needs. And our wealth of development programs and educational support will help you reach your full potential.

Inclusion, Diversity and Social Responsibility. We truly believe our employees' diverse backgrounds, experiences and perspectives are a powerful contributor to creating an inclusive environment where everyone can thrive and reach their maximum potential while adding value to both our organization and our clients. We warmly welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality. Another fundamental value at State Street is active engagement with our communities around the world, both as a partner and a leader. You will have tools to help balance your professional and personal life, paid volunteer days, matching gift programs and access to employee networks that help you stay connected to what matters to you.

State Street is an equal opportunity and affirmative action employer.

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