Compliance, FICC Compliance, Vice President, Paris
- Paris
- CDI
- Temps-plein
- Providing real-time compliance advice to the FICC business units, with regards to European relevant rules, regulations and internal policies that govern the business.
- Provide support with the interpretation and implementation of new rules/regulation - assessing regulatory risks, regulatory changes and potential impact to EU FICC business units.
- Adhering to the Global Compliance Framework, including with respect to risk assessments and designing/implementing appropriate controls.
- Provision of pro-active risk mitigation instructions on regulatory and policy matters including individual transactions, new products and business initiatives.
- Assistance with the interpretation and implementation of new rules/regulation - assessing regulatory risks, regulatory changes and potential impact.
- Development and deployment of second line controls and assisting the first line with the development of their controls.
- Review of new algorithms and other electronic related business initiatives initiatives to ensure adherence with EU and German specific requirements.
- Reviewing of policy/conduct violation escalations
- Review of marketing materials and new activities committee memos.
- Working with Legal, Controllers, Internal Audit, Technology, Operations (Client onboarding) and other areas within Compliance (including the broader Global Banking and Markets - Public team) or the business divisions to ensure prompt and coordinated resolution of compliance matters.
- Assisting with the coordination of responses to ad-hoc regulatory, exchanges and audit enquiries including utilising firm systems to conduct forensic reviews.
- Collaborating with other Compliance areas and the business to produce responses to information requests ahead of regulatory audits/reviews/reports/questionnaires.
- Assisting with the review and escalation of Suspicious Transactions.
- Developing and delivering training sessions on Compliance matters, including on EU and French regulatory requirements.
- Updating Compliance-related Policies and Procedures in accordance with applicable European and French regulations and Group requirements.
- Minimum of 5 years of compliance experience, ideally gained by working for a top tier house or others with sophisticated market making/hedging business units and/or complex financing capabilities.
- Degree level or equivalent (not essential if has relevant working experience).
- Fluent in French and in English.
- Professional qualifications such as CISI Diploma, CFA, AMF certification are an advantage.
- Excellent practical understanding of FICC asset classes.
- Pro-active, self-motivated, assertive and well-organized.
- Ability to work independently and yet remain a strong team player.
- Ability to handle multiple tasks simultaneously and work to tight deadlines.
- Excellent communication skills both written and oral.
- Ability to communicate effectively and drive practical outcomes.
- Proactive approach to problem solving.
- Deep interest in compliance/financial markets and a willingness to continually learn.
- Excellent understanding of ACPR/AMF and European regulations and willingness to keep abreast of business and regulatory changes.
- Excellent understanding of EU Regulations (MiFID II, MAR, Benchmarks, EMIR, CSDR). French Regulations (AMF General Rule Book, French monetary and Financial Code) as well as US regulations (Dodd-Frank Act and other major CFTC and SEC driven regulations).
- Ability to enrich and thrive in an international and diverse, inclusive environment.
- Analytical mind, inquisitive and detail oriented.
- Good understanding of risk analysis processes.
- Ability to make sound decisions, including escalation when appropriate, in regard of regulatory risks.
- Ability to build strong working relationships with colleagues in all divisions across the region and co-ordinate with the global and regional Compliance team.