Vice President – Risk Management and Compliance Governance Lead
Location: Greater London
Job Type: Full time
The Firmwide Risk Management and Compliance job family comprises cross line of business and corporate function roles. Roles within this family play a critical part in managing existing, new and emerging risks, developing, implementing and executing on Risk and Compliance frameworks; and delivering against regulatory requirements and standards.
Risk Management and Compliance Governance employees perform a variety of activities to support compliance with internal policies, procedures and external regulations. Responsibilities of this position include leading the EMEA CCOR OLO programme in line with internal firmwide governance, adherence to control frameworks, supporting the development of the programme, and working with internal audit as required.
Responsible for the evaluation of applicability and impact of legal obligations assigned by Legal to EMEA CCOR. Work with relevant subject matter experts (SMEs) within EMEA CCOR in order to:
- determine whether and how legal obligations are relevant to EMEA CCOR
- map these obligations to CCOR risks, policies, procedures and systems
- assess and verify mapped policies, procedures and systems are sufficient to meet the legal obligations and, where there are gaps, provide credible challenge to the relevant SME
- work with SMEs to remediate any gaps identified
Build relationships and collaborate with SMEs across the region and CCOR partners globally to maintain and support the programme and consistent review of applicable obligations.
Provide project management support and tracking of execution, including production of management information metrics using Excel and PowerPoint.
Provide local input and support the global initiatives relating the the OLO programme in particular the expansion of in scope jurisdictions.
Support ad hoc activities within the team and the department's strategic goals, including partnering with technology as applicable.
Experience and Skills
Sound knowledge of EMEA financial laws, rules and regulations relating to the firm and CCOR's responsibilities.
Understanding of the process of regulatory change for jurisdictions within EMEA, and appreciation of the current regulatory environment and regulators' strategic priorities for the financial industry.
Strong experience in Compliance, Legal, Operational Risk or Controls Management within a financial, banking, regulator or equivalent firm.
Sound understanding of Operational Risk, including Compliance and Conduct Risk, and how these risks are managed by the firm's control framework.
Excellent communication skills
Strong analytical skills and attention to detail
Ability to work in a complex environment, with multiple stakeholders and competing priorities
Ability to build strong, collaborative relationships with a diverse group of stakeholders