Head of Surveillance and Compliance

4 weeks ago

London, Greater London, United Kingdom Intesa Sanpaolo Group Full time
Job Title: Head of Surveillance and Compliance

We are seeking a highly experienced and skilled professional to lead our Surveillance and Controls Unit. As the Head of Surveillance and Compliance, you will be responsible for developing, implementing, and overseeing a robust monitoring and surveillance program to detect and prevent potential misconduct, market abuse, and other compliance violations within the organisation.

The successful candidate will lead a small team of skilled professionals and work collaboratively with various stakeholders to ensure the integrity and security of our operations. Key responsibilities will include:

  • Overseeing the day-to-day compliance monitoring programme.
  • Investigating and tracking Compliance incidents and breaches, and developing and implementing remediation plans to address root causes and prevent recurrence.
  • Designing and delivering periodic monitoring and surveillance reports and MI to the Head of Regulatory Compliance and the Compliance Committee.
  • Contributing to the resolution of compliance issues arising from the execution of non-financial regulatory reporting obligations.
  • Delving into complex system infrastructure to understand the impact of data flows and booking models on reporting quality.
  • Designing, producing, and keeping updated KPIs of monitoring and surveillance activities, as well as monitoring the evolution of KRIs, escalating when differing from the threshold and advising on how to mitigate any potential risk.
  • Actively monitoring compliance risks related to the business operations of the Branch and the launch of new products and services.
  • Maintaining a good understanding of the FCA and PRA rules and regulation applicable to the Branch and a broad awareness of European rules and regulation that may impact the UK.
  • Collaborating on the Annual Compliance Risk Assessment.
  • Working with the Regulatory Alignment and Advisory Unit to ensure any new internal or external rules or changes are implemented effectively within the CMP.
  • Supporting the Branch's compliance culture through proactive engagement and advice to the stakeholders of the operational departments.

Additionally, the successful candidate will be responsible for overseeing and managing Control Room tasks, including PA dealing, wall crossing, and watchlists, as well as implementing and maintaining policies and procedures related to information barriers and MNPI.

Requirements
  • Degree educated (Law/accountancy/economics/business) or relevant professional qualifications (CISI/ICA).
  • Excellent knowledge of the UK regulatory framework, particularly the FCA rulebooks: COBS, MAR, SYSC, and an understanding of European regulations (e.g., MiFID, EMIR, STFR, etc.).
  • An understanding of one or more of the following asset classes: fixed income, equities, FX, or equity derivatives.
  • Fluent in a European language would be beneficial.
  • Knowledge of corporate & investment banking.

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