HEAD OF CAPITAL MARKETS COMPLIANCE MFD

Our client an renowned Asset Manager is a reputable financial institution known for its commitment to excellence in banking and financial services. With a rich history spanning decades they pride themselves on delivering personalized solutions to their clients. As they continue to grow and adapt to market dynamics they are seeking a highly skilled and experienced professional to join them as the Head of Capital Markets Compliance.

As the Head of Capital Markets Compliance you will be responsible for leading and managing the compliance function within the Capital Markets division. This strategic role requires a deep understanding of capital markets regulations excellent leadership skills and the ability to navigate complex compliance challenges. The successful candidate will play a pivotal role in ensuring that the banks capital markets activities align with regulatory requirements and internal policies.

Tasks

Strategic Compliance Leadership:

• Develop and execute a comprehensive compliance strategy for the Capital Markets division in alignment with overall business objectives.
• Provide strategic guidance to senior management on compliancerelated matters.

Regulatory Compliance Oversight:

• Stay abreast of changes in capital markets regulations and assess their impact on the banks operations.
• Oversee the implementation of compliance programs and controls to ensure adherence to relevant regulations.

Policy Development and Implementation:

• Lead the development review and implementation of compliance policies procedures and controls specific to capital markets activities.
• Ensure effective communication and understanding of policies within the Capital Markets team.

Risk Assessment and Monitoring:

• Conduct regular risk assessments related to capital markets activities.
• Establish and maintain an effective compliance monitoring and testing program for the Capital Markets division.

Collaboration and Training:

• Collaborate with other departments particularly the Capital Markets team to embed a culture of compliance.
• Develop and deliver training programs to enhance the teams understanding of compliance requirements.

Incident Response and Reporting:

• Oversee the investigation and resolution of compliancerelated incidents within the Capital Markets division.
• Prepare and submit timely reports to senior management and regulatory authorities as required.

Requirements

• Bachelors degree (or equivalent) in a relevant field; advanced degree or professional certification (e.g. CRCM CFA) is a plus.
• Several years of experience in a compliance leadership role within the financial industry with a focus on capital markets.
• Indepth knowledge of capital markets regulations market conduct and related compliance areas.
• Strong leadership communication and interpersonal skills.
• Proven ability to drive compliance initiatives and influence positive change within an organization.

Benefits

• Modern working environment
• Career development
• Hybrid working model
• Corporate benefits

We are looking forward to your application!