Uk Legal Entity Compliance Specialist

Role: UK Legal Entity Compliance Specialist

Location: London

Duration: 12 Months

Hybrid 3 days in the office

Summary: Responsible for acting as a general Compliance Specialist in the UK to the in-scope Asset Servicing entities.

Major Duties:

• Serve as the senior Compliance Specialist subject matter within the Asset Servicing UK Legal Entity Compliance team across all applicable entities and compliance programme requirements.


• Acts as a conduit between the UK Legal Entity Compliance Oversight team, Global Compliance Framework team and Global Regulatory change programme.


• Act as the Compliance Specialist providing Asset Servicing entity support for all Compliance matters.


• Have a sound understanding of the FCA and PRA regulatory environment including COBS, CASS, SYSC, DISP, COLL, FUND, MIFIDPRU


• Be an active participant in the identification and implementation of improvements to benefit the wider EMEA Compliance sphere to ensure a best-in-class service is provided to all stakeholders.


• Execute the compliance programme deliverables including the compilation of EMEA wide metrics, identifying trends and the onward reporting requirements in the global compliance and Legal Entity structure.


• Own the content and accuracy thereof of the Compliance Risk Assessment (CRA) for the allocated regulations as part of the broader CRA programme of work.


• Feed into the maintenance and where relevant creation of policies in scope of the Asset Servicing Compliance remit.

Knowledge/Skills:

• Knowledge of the regulatory environment the UK Asset Servicing entities operate in


• Relationship Management skills


• Adaptable and agile approach


• Ability to write in a concise and accurate manner.


• Proven organisational and multitasking skill set.


• Strategic thinker

Experience:

• Knowledge of FCA landscape and relevant laws applicable to a custody bank operating globally and servicing professional clients.


• Knowledge of the Depositary regulatory environment


• Excellent communication (verbal and written) and interpersonal skills.