UK Legal Entity Compliance Specialist

3 weeks ago

London, United Kingdom Pontoon Solutions Full time

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:

  • as the senior Compliance Specialist subject matter within the Asset Servicing UK Legal Entity Compliance team across all applicable entities and compliance programme requirements.
  • as a conduit between the UK Legal Entity Compliance Oversight team, Global Compliance Framework team and Global Regulatory change programme.
  • as the Compliance Specialist providing Asset Servicing entity support for all Compliance matters.
  • a sound understanding of the FCA and PRA regulatory environment including COBS, CASS, SYSC, DISP, COLL, FUND, MIFIDPRU
  • 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.
  • 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.
  • the content and accuracy thereof of the Compliance Risk Assessment (CRA) for the allocated regulations as part of the broader CRA programme of work.
  • into the maintenance and where relevant creation of policies in scope of the Asset Servicing Compliance remit.


Knowledge/Skills:

  • of the regulatory environment the UK Asset Servicing entities operate in
  • Management skills
  • and agile approach
  • to write in a concise and accurate manner.
  • organisational and multitasking skill set.
  • 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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