As a Compliance Risk Management Lead within the Markets Line of Business, you will be based in Paris, providing crucial Compliance oversight and support to the broader French-based Compliance team and the global Markets teams. Your role will involve offering timely, risk-based advice on regulatory matters, including 'live' regulatory interpretations and decisions in high-profile or time-constrained situations. You will provide thought leadership and compliance input to regulatory change management, ensuring timely and robustly documented input into business initiatives. This may involve reviewing new product proposals, business reorganisation, and specific initiatives to identify regulatory and control issues.

Your responsibilities will also include providing scheduled and ad-hoc training to the business, ensuring accurate completion of monitoring and testing activities, and identifying assurance activities. You will oversee the identification, implementation, and review of compliance policies, procedures, and additional documentation. Actively participating in the identification, assessment, challenge, and calibration of risks will be a key part of your role. You will also contribute to responses to regulatory and exchange inquiries, investigations, and exams. Lastly, you will prepare materials for First and Second Line of defence recipients, act as a compliance representative at relevant forums, and oversee the disposition and issuance of policy/conduct violations, partnering with HR, Legal, and other internal stakeholders.

 

Job Responsibilities : 

Providing credible, timely and risk-based advice, challenge and support on regulatory matters, including 'live' regulatory interpretations and decisions to the business in high profile and/or time constrained situations Provision of thought leadership and compliance input to regulatory change management Providing timely and robustly documented input into business initiatives consistent with the firm's regulatory and reputational risk tolerances - e.g. new product proposals, business reorganisation, review of specific initiatives/transactions/structures to identify regulatory and control issues. For example, in respect of bespoke corporate derivative transactions Provision of scheduled and ad-hoc training to the business Accurate and timely completion of monitoring and testing activities as well as identification of assurance activities Identification, implementation and review of compliance policies, procedures & additional documentation Actively participate in the identification, assessment, challenge and calibration of risks Contribute to responses to regulatory and exchange inquiries, investigations, and exams Preparation of materials for First and Second Line of defence recipients and acting as compliance representative at relevant forums Oversee the disposition and issuance of policy / conduct violations; partnering with HR, Legal and other internal stakeholders.

Required qualifications, capabilities, and skills

Familiarity with Markets structures and products Knowledge of key financial services regulation applicable to Markets (e.g. MiFID, MAR) and recently regulatory developments (e.g. Retail Investment Strategy) Able to work independently and have sufficient experience to know when to escalate an issue is essential "Can do” attitude with the willingness to help others in the team and external to the team Possess a high-level of attention to detail and focus on the quality for their work product Being proactive, able to think critically about the information presented to them, comfortable with subjective situations, and ready to ask appropriate questions and effectively challenge Willingness to go above and beyond to deliver excellence Strong communication and presentation skills, with the ability to translate complex regulatory issues into comprehensible messages for a range of audiences and levels and engage with a range of different stakeholders Ability to consider the regulators’ position and understand, anticipate and react positively to their requirements and demands.

 

Preferred qualifications, capabilities, and skills

Good understanding of broader French regulatory requirements would be beneficial Relevant experience of performing a similar role at a global investment bank would be a significant advantage