Head of Compliance Uk

2 months ago

London, United Kingdom Natixis Full time

**Poste et missions**:

- Responsibility for the Branch's performance of its obligations under the FCA and PRA Senior Managers Regime.
- Responsibility for the Branch's performance of its obligations under the FCA and PRA employee Certification Regime.
- Responsibility for compliance with the regulatory requirements concerning the Management Responsibilities Map. Provide that the London Branch's Management Responsibilities Map is maintained and submitted to the FCA and the PRA in accordance with their requirements. Seek input from the London Branch Executive Committee, the Human Resources Department and the London Branch's other Senior Managers in relation to the content of the London Branch Management Responsibilities Map.
- Responsibility for the escalation of correspondence from the PRA, FCA and other regulators in respect of the Branch to the UK Senior Management, the UK Executive Committee, or, where appropriate, the Head office of Natixis, or BPCE. Designated contact in the UK for the FCA, PRA and other relevant regulators on behalf of the London Branch.
- Responsibility for the performance by the firm of its obligations in respect of notifications and
- Leading the UK Compliance, Information Security, Business Continuity Management and Physical Security teams for the CIB business.
- The overall responsibilities of the role are to set strategies to manage compliance risk and to maintain a strong compliance culture throughout the CIB operations of Natixis in the UK.
- The Head of Compliance must play a full part, as a member of senior management and the UK
- Executive Committee, in providing leadership to the business, building and implementing the strategy and operational plan to meet corporate goals and safeguarding customers' interests.

Main Responsibilities
- Identifying and assessing laws, regulations and rules that govern Natixis operations in the UK. Providing an effective regulatory watch particularly with the Brexit.
- Providing businesses and operations with effective policies, procedures and control systems for managing relevant compliance risks;
- Building a compliance awareness program and delivering to the relevant staff effective training, helping the staff to incorporate the right compliance culture and business conduct;
- Create a culture of effective compliance that is embedded throughout the business;
- Providing advice to senior management in the country and to Natixis abroad, particularly to the Head Office, on UK compliance related issues;
- Developing, together with the global controls function, an effective testing and monitoring plan in the UK. To ensure that corrective measures raised by compliance controls are addressed or escalated;
- Overseeing and coordinating a team of 16+ FTEs in charge of the compliance and controls functions in the UK. To recruit, evaluate, develop and reward staff accordingly;
- Setting strategy for managing the relationship with the FCA and the PRA. Together with the Senior Country Manager, be responsible for managing those relationships;
- Supervising the fight against financial crime and overseeing the AML/Sanctions program in the UK;
- Monitoring the implementation of recommendations and requirements of regulators / market authorities and internal audit in order to prevent sanctions and the risk of reputation/ image/ or financial loss;
- Set, establish and provide adherence to processes, policies and procedures to meet compliance, legal and regulatory requirements. These should be supported by the appropriate monitoring and reporting procedures;
- Be aware and demonstrate through actions, adherence to all compliance obligations set both externally (through legislation, regulation or industry guidelines) and with related internal policy and procedures (which detail those requirements specific to Natixis);
- Implement and develop permanent control plan that satisfies French APCR requirements;
- Manage the London-based Security function, responsible for establishing, implementing and reviewing the BCP and local security (IT and physical) policies, ensuring appropriate liaison with IT and Compliance departments, as relevant;
- Assist in the development of the business continuity plan for the UK CIB, including appropriate liaison with IT on the DR aspects;
- Plan and manage the London Compliance Department budget and set the Department's strategy;
- Regular reporting to senior management and Head Office compliance, including the production of metrics, KPls, KRI and other indicators.

**Profil et compétences requises**:

- Detailed experience of UK financial services regulatory environment is essential, being able to demonstrate sound track record in compliance at the highest level.
- Experience of managing external legal counsel assignments.
- An ability to be part of and communicate with Senior Management and proactively seek practical and commercial minded solutions to regulatory issues impacting on the business.
- Proven problem solving capacity.

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