UK Legal Entity Compliance Specialist
4 weeks ago
Role: UK Legal Entity Compliance Specialist
Location: London
Duration: 12 Months
Hybrid 3 days in the office
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.
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