Company Profile: Company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Company can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Legal and Compliance: The attorneys and other professionals of Legal & Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm’s invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm’s businesses. Job overview: Company has leading franchises both globally and in EMEA in Equities and ECM. The EMEA business comprises approximately 850 Sales & Trading employees and is based at its regional headquarters in Canary Wharf, London. The EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (Fixed Income, Commodities, Equities), Investment Banking, Research, Investment Management and Private Wealth Management Business across the EMEA region. The Infrastructure Compliance Function is responsible for many of the centralised compliance processes common across the Company businesses and provides compliance support and advice to Company’s infrastructure areas. This role within Infrastructure Compliance will provide support to the Company Compliance Executive Director and will entail working closely with other professionals in the Legal & Compliance Department, providing coverage to the Company EMEA businesses and support functions and drawing upon the general resources of the Firm. Core areas of coverage include, but are not limited to: the holding of client assets, client take on, outsourcing, voice recording, fund administration, significant influence applications, disclosure of interest and transaction reporting. Primary Responsibilities: (a) Monitoring and Testing programme: - Undertaking specific Infrastructure Compliance testing: partnering with a member of the relevant central EMEA Risk Assessment, Testing and Strategic Initiatives Compliance team to lead Infrastructure Compliance test checks and Desk Reviews to monitor compliance with relevant Regulation and internal policy. Ensure we take a risk based approach and proportionate approach to scoping testing, ensuring testing is carried out efficiently to make the best use of available resources and is completed and documented in line with global procedures. - Coordinate the Infrastructure Compliance test check programme: help ensure the programme is kept up to date, liaising closely with the EMEA Risk Assessment, Testing and Strategic Initiatives Compliance team and relevant global teams. Ensure themes and lessons learnt arising are considered more broadly. - Quality Assurance: ensuring testing is undertaken and documented in line with applicable standards. (b) Compliance Advisory: - Provide oral and written advice to the Company businesses and support functions on compliance policies and procedures and relevant UK and international laws, rules and regulations. Such advice may be general in nature or specific, for example, to transactions, new business initiatives, ordinary course of business enquiries and exceptional situations. (c) Strategic Projects & Initiatives: - Participate in / lead as appropriate strategic projects and initiatives with other legal and compliance professions, including helping to scope projects, deliver workstreams and implement action plans. Reporting line: The candidate will report into the Executive Director, Infrastructure Compliance, EMEA. Primary Contacts: Due to the diverse and widespread nature of the position, the role requires close contact at all levels of business unit staff, as well as operational, IT and other support personnel within the Firm. The role will also include external contact, such as with clients, other investment banks, broker-dealers, regulatory bodies, industry bodies, outside counsel and external auditors. Qualifications Skills Required: - Ability to build relationships of trust with members of the Compliance department and employees in the business unit and support & control functions. - Strong communicator - in person and in writing; strong drafting skills is essential. - Good analytical and numerical skills, able to learn new concepts. - Detail oriented and good memory skills. - Ability to remain focused under pressure. - Ability to perform multiple tasks simultaneously. - Confidence to use own initiative and apply judgment in an in-house context. - Proactivity, enthusiasm and aspiration to learn and develop. - Solid knowledge in at least one relevant area (e.g. client assets, outsourcing, voice recording, senior management systems and controls, fund administration, disclosure of interest or transaction reporting) - Technical knowledge of one or more areas of Company’s business is desirable but not essential. - Previous experience of completing risk based sampling or testing is desirable but not essential. Company is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential.