Title: Compliance & Conduct Risk VP - Captial Markets
Company: Investment Banking
Location: Paris, France
About
This role offers a chance to take on a vital and prominent position at our Paris branch. You will serve as a trusted advisor to the business, aiding management in understanding and managing regulatory compliance and conduct risks. Your expertise and specialized knowledge will be highly valued as you work closely with the business to earn their trust, confidence, and respect.
The Role
As part of our European Compliance & Conduct team, you will operate in a second line of defence role, primarily overseeing regulatory compliance and conduct for our operations in France. You will provide support, advice, management information, and escalate issues to senior management, guiding them on risk management and recommending actions to achieve their commercial and strategic goals.
You will also assist with interactions with local regulatory bodies on compliance matters and support the local compliance and conduct governance framework.
Responsibilities
- Developing and maintaining a local compliance and conduct governance framework, offering advice to meet regulatory requirements and addressing compliance and conduct risks related to business initiatives, projects, and transactions.
- Identifying potential or actual compliance and conduct risks, ensuring proper escalation, remediation, and mitigation to manage risks within acceptable limits, including management reporting and escalation as needed.
- Assisting with the monitoring and testing of business systems and controls, providing oversight of compliance control effectiveness, and ensuring regular compliance with relevant rules and regulations.
- Establishing and maintaining local training and awareness programs.
Skills & Qualifications
To excel in this role, you need a thorough understanding of EU and local regulations, legislation, and codes of practice relevant to the licenses held. You should be able to interpret these to support policy and procedure development.
Experience interacting with regulators, along with excellent interpersonal and communication skills, both verbal and written, is essential. Fluency in French and English is required.
Additionally, you should have:
- Extensive knowledge of investment banking and financial markets services from working within a compliance function.
- The ability to analyze multiple data sources to make informed, risk-based decisions and solutions.
- Experience in writing reports for all levels, including executive and board, and the ability to verbally present and discuss the content.
Looking forward to hearing from you!
