Responsibilities
:
1. Provide timely and accuratepliance advice to the private side of the business
2. Interpret andmunicate regulatory requirements and industry standards to business units, ensuring adherence to applicable laws and regulations.
3. Collaborate with business stakeholders to develop and implementpliance controls, policies, and procedures tailored to the unique needs of the private side.
4. Conduct risk assessments andpliance reviews to identify areas of improvement and mitigate potentialpliance risks.
5. Stay abreast of regulatory developments and industry trends impacting the private side of the business, advising on the implications and necessary actions.
6. Assist in the development and delivery ofpliance training programs for employees within the private side business units.
7. Serve as a subject matter expert onpliance matters, providing guidance and support to internal stakeholders and external partners as needed.
Qualifications:
8. Bachelor's degree in finance, law, business, or a related field..
9. Proven experience working inpliance within the financial services industry, with a focus on the private side of investment banking.
10. Strong understanding of relevant regulations, including MiFID II, MAR, EMIR, and other applicable directives and regulations.
11. Excellentmunication and interpersonal skills, with the ability to effectively engage and collaborate with stakeholders at all levels of the organization.
12. Analytical mindset with the ability to assessplex regulatory requirements and develop practical solutions.
13. Proactive approach to problem-solving and a demonstrated ability to work independently and as part of a team in a fast-paced environment.
14. High level of integrity and ethical standards, with amitment to upholding the highest levels ofpliance and professionalism.