Head CCO WM Regulatory Compliance

An outstanding opportunity to join us in the role of CCO WM Regulatory Compliance, reporting to the Head of CCO WM with a dotted line also to the Head of Regulatory Compliance. The key risk types that you will have oversight of include Fraud, Market Conduct & Conflicts, Market Access, Employee Compliance, Governance and Standards, Investor Protection and Data & Records. In joining the team you will have an opportunity to be part of a dynamic and highly skilled team. As part of this job, you will:

• Support Regulatory Compliance’s mandate of setting standards for Group, ensuring that Divisional specific requirements are factored into Group standards
• Support the execution of Compliance Programs and Compliance Practices in the Division
• Lead the execution of the Compliance Risk Assessment for the Division
• Communicate to the Divisional CCO and Divisional stakeholders on the Global Compliance Framework
• Be the primary interface on behalf of the Divisional CCO team with Regulatory Compliance, and vice-versa through providing Division specific risk views to Regulatory Compliance
• Identify resourcing needs for Divisional CCO to meet global standards set by Global Programs to deliver consolidated supervision
• Establish mechanism to disseminate key Regulatory Compliance messages within the Division, and positively impact the culture
• Collaborate with stakeholders across Compliance and the Division

Your future colleagues

This is a key role as part of the CCO WM team. We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global cultural values.

To be successful in this role you will need:

• At least 10 years’ experience in the financial services industry and/or in the above-mentioned areas of business or in compliance
• Ability to apply in-depth knowledge of business processes and procedures, laws and requirements, and expertise in compliance methodologies to the analysis of current processes and procedures
• Ability to communicate complex or difficult concepts and negotiate and influence others to adopt different points of view
• Ability to prioritize activities and those of colleagues. Ability to manage multiple work streams to achieve departmental goals
• Excellent leadership and stakeholder management skills
• Understanding complex problems and apply non-routine analytic processes and tools to draw conclusions
• Challenges status quo and contributes to change
• Communicates effectively; moves easily from discussion to agreement. Establishes sustainable relationships with colleagues
• Strong accountability for actions and results. Provides and accepts constructive feedback. Contributes to a positive and inclusive team environment, inspires others
• Effectively applies his/her knowledge to deliver solutions that fit the purpose and are feasible
• Fluent in English; German is a plus
• University degree or equivalent
  

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T. von Martini would be delighted to receive your application.
Please apply via our career portal.