Chief Compliance Officer

3 days ago


London, Greater London, United Kingdom Intesa Sanpaolo Group Full time
Job Title: Chief Compliance Officer - Surveillance and Controls

Location: London, GB

We are seeking a dynamic and experienced individual to lead our Surveillance and Controls Unit. As Chief Compliance Officer, 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 ideal candidate will have excellent knowledge of the UK regulatory framework, particularly the FCA rulebooks: COBS, MAR, SYSC, and an understanding of European regulations such as MiFID, EMIR, STFR, etc.

Key Responsibilities:

  • Oversee the day-to-day compliance monitoring programme ('CMP')
  • Investigate and track Compliance incidents and breaches, and develop and implement remediation plans to address root causes and prevent recurrence
  • Design and deliver periodic monitoring and surveillance reports and MI to the Head of Regulatory Compliance and the Compliance Committee
  • Contribute to the resolution of compliance issues arising from the execution of non-financial regulatory reporting obligations
  • Delve into complex system infrastructure to understand impact of data flows and booking models on reporting quality
  • Design, produce and keep updated KPIs of monitoring and surveillance activities as well as monitoring the evolution of KRIs
  • Actively monitor compliance risks related to business operations of the Branch and the launch of new products and services
  • Maintain 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
  • Collaborate on the Annual Compliance Risk Assessment
  • Work with the Regulatory Alignment and Advisory Unit to ensure any new internal or external rules or changes are implemented effectively within the CMP
  • Support the Branch's compliance culture through proactive engagement and advice to stakeholders of operational departments

About Intesa Sanpaolo Group

Intesa Sanpaolo is the banking group leader in Italy. We significantly support the development of companies and give an important sustain to the country's growth. We have a selected retail banking presence in Central and Eastern Europe, the Middle East and North Africa, with approximately 1,000 branches and 7.2 million customers in 12 countries.

Requirements:

  • Degree educated (Law/accountancy/economics/business) or relevant professional qualifications (CISI/ICA)
  • Excellent knowledge of the UK regulatory framework
  • 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

Estimated Salary Range: £60,000 - £80,000 per annum



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