Join us as a Compliance & Conduct Officer

• This is an opportunity to take on a critical and high-profile role for our NatWest Markets Paris branch
• We’ll look to you to act as a trusted adviser to the business and support management in its understanding and ownership of regulatory compliance and conduct risks
• You’ll be recognised for your expertise and specialist knowledge, as you work closely with the business to gain their trust, confidence and respect

What you’ll do

You’ll be working as a member of our European Compliance & Conduct team in a second line of defence capacity, primarily providing regulatory compliance and conduct oversight to our business based in France. You’ll provide support, advice, MI and escalation to senior management and the overall business on risk management, recommending necessary actions to the management team for establishing and achieving their commercial and strategic objectives.

We'll look to you to support on interactions with relevant local regulatory bodies in relation to respective compliance related matters and to help support the local compliance and conduct governance framework.

Your responsibilities will also include:

• Establishing and maintaining a local compliance and conduct governance framework, including but not limited to, provision of advice to meet regulatory requirements and addressing regulatory compliance and conduct risks relating to business initiatives, projects and transactions, ensuring issues are managed appropriately
• Identifying potential or actual regulatory compliance and conduct risks, ensuring appropriate escalation, remediation and mitigation to manage risks within appetite, including appropriate management reporting and escalation of matters, as required
• Assisting with monitoring and testing of the business, systems and controls and providing oversight of the business compliance control effectiveness as required, including regular monitoring to ensure compliance with relevant rules and regulations
• Establishing and maintaining adequate local arrangements for training and awareness

The skills you’ll need

To be successful in this role, you’ll need detailed knowledge of EU and local regulations, legislation and codes of practice relevant to appropriate licenses held. You’ll also have the ability to interpret these to support policy and procedure development.

We’ll look to you to have experience of interacting with regulators, along with excellent interpersonal and good verbal and written communication skills. We’ll expect you to have fluency in French and English.

In addition, you’ll need:

• Extensive knowledge of investment banking and financial markets services gained from operating within a compliance function
• The ability to source and assess multiple data and information points to help make risk-based decisions and solutions
• Experience of report writing at all levels, including executive and board, and the ability to verbally deliver and discuss the content

Hours

35

Job Posting Closing Date:

18/11/2024