VP Compliance Change Management
The candidate will be involved in a broad range of management, regulatory and project initiatives across Compliance. The role will demand regular interaction within Compliance as well as with the Front Office, Legal, IT and other external parties. The candidate should therefore be comfortable working with colleagues at all management levels and possess the necessary interpersonal and leadership qualities. The position also requires the candidate to be a strategic thinker.
Role details:
- Establishing the Compliance Control Framework, a joint initiative between Front Office Compliance to promote an enhanced compliance culture though the bank. This will involve establishing controls around a series of key risk areas and the oversight quality assurance on front office controls on these areas.
- Driving the strategic direction of regulatory adherence projects, including key project stream to ensure that Firm is prepared and aligned when new local regulatory requirements are implemented this will require particular engagement with stakeholders in a number of locations and detailed tracking and oversight to ensure timely delivery of change initiatives.
- Provide project management oversight and supervision for other key Compliance initiatives, these include the transition, integration and re-engineering of teams including trade surveillance and employee trading into the new Central Compliance Function.
- Responsibility for ensuring that Management Information on project status is transparent at all times, including ensuring that any delays are highlighted addressed with relevant project leads, ensuring KRIs are delivered to senior management on a timely basis indicating any potential weaknesses in certain areas/themes arising.
- Representation at various senior management OpCo/ExCos –Compliance Steering Committee, IT project boards, Regional Compliance ExCo.
Skill set required:
- Strong knowledge of the UK EU (or either Asian / American depending on which role) regulatory environment, ability to communicate this effectively to the business detailed knowledge of German regulations would be a plus
- Proven ability to deliver major projects ideally in a Compliance area.
- Develop strong collaborative working relationship with Compliance managers globally
- Strong generalist compliance experience, preferably from another investment bank
- Excellent interpersonal, communication management skills, able to deal with senior stakeholders on a regular basis
- Ability to influence promote a strong compliance culture
- Demonstrates a high level of diligence attention to detail
Results orientated ability to work in a fast paced environment
Leave a Reply
You must be logged in to post a comment.