This position reports to both the Head of International Office of Regulatory Affairs and the Head of Compliance for Europe, Middle-East and Africa (EMEA). The position is to provide strategic advice and guidance to these individuals, and other lines of business and functions in the firm, helping to address regulatory demands (whether policy-driven or supervisory-driven) in a consistent and coherent way. The role also involves management of discrete projects in support of this objective.
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Specific tasks include:
Input and advice to senior executives in connection with regulatory projects, communications or other initiatives: Partner with the Compliance Regulatory Management team to identify significant interactions or trends in supervisory dialogue, and advise on appropriate strategies to anticipate and respond to emerging regulatory priorities. In particular, to support and promote the development of a coordinated approach to contact with regional regulators ex-UK.
Quality assurance: Participate in regional and firmwide processes that are designed to ensure regulatory remediation projects are executed to a high standard and fulfil the letter and spirit of regulatory requirements. Work with lines of business and functions to develop remediation plans that are proportionate, achievable and meet these regulatory requirements.
Governance: Working with the regional governance team within ORA and the Office of the Secretary, ensure relevant regulatory issues are escalated and communicated effectively to senior governance forums, including legal entity boards and regional management committees. Participate in other regional governance forums to identify emerging issues that may require dialogue or additional disclosure to regulators in EMEA.
Project management: On an ad hoc basis, initiate, design and/or execute projects to meet specific regulatory requirements. These will typically be projects of strategic importance to the firm, may involve innovative or complex concepts, and/or relate to issues that cut across multiple lines of business or functions.
Policy advocacy: On select policy initiatives that have elevated strategic importance to the Bank, work with ORA to evaluate the practical impact of these measures on the firm, and support ORA in advocacy efforts to enable regulators to meet their intended objectives and minimize unintended outcomes.
Qualifications
Qualifications
7-10 years experience in regulation, whether working for a regulator or Compliance, with preferably a strong background in supervisory practices at the UK and other leading EU regulators
Strong fluency in either of prudential or conduct regulation, with sound familiarity with the other
Excellent analytical, organizational, and problem solving skills
Ease working across a range of complex issues; ability to learn new topics quickly, courage to ask questions
Ability to effectively engage senior leaders around the firm
Ability to work both as an individual as well as a team contributor; self motivated with attention to detail
Ability to clearly communicate and present information both orally and in writing
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