Leanne Bailey Email & Phone Number

United Kingdom

London, England, United Kingdom

London, United Kingdom

Canary Wharf

Canary Wharf London

• Ensure that the GS UKMEA compliance programmes are implemented, addressing all relevant risks as well as corporate and local requirements, collaborating with Legal, Risk Management, Regulatory, Industry and Government.
• Execute and oversee the implementation of the regulatory risk oversight programme.
• Execute and maintain a monitoring and surveillance programme which assists in the completion of the regulatory risk oversight… Show more
• Execute and maintain a monitoring and surveillance programme which assists in the completion of the regulatory risk oversight programme.
• Oversee Global Services AML and KYC programs.
• Act as Deputy MLRO

Canary Wharf, London

• Responsible for assisting the Head of EMEA Compliance with the development, direction and management of the overall compliance program of a major business unit or of a subject matter or functional specialty within the.
• Assist the Head of EMEA Compliance within the Office of Corporate Compliance, responsibility for overseeing an enterprise wide compliance program in… Show more
• Assist the Head of EMEA Compliance within the Office of Corporate Compliance, responsibility for overseeing an enterprise wide compliance program in the subject matter or functional specialty.
• Assume responsibility for the Head of Monitoring and Testing for the EMEA region and ensure that plans are executed within the agreed timeframes.
• Ensure that the respective compliance programmes address all applicable laws, rules, regulations and compliance business risks as well as corporate requirements, collaborating with Legal, Regulatory Affairs, Risk.
• Provide support and guidance for the EMEA region on the corporate compliance monitoring and testing programme and testing standards issued form Corporate Compliance.

Canary Wharf

• Managerial responsibility of the compliance monitoring and EMEA investment restrictions team (5 people) in London.
• Ensure branches established in the EMEA region were implementing regulatory monitoring and testing programmes.
• Developing and assisting the regulatory monitoring standards and requirements across the EMEA region.
• Leading projects from an EMEA perspective on Optimisation and consistency for Monitoring and Testing and Investment Restrictions.
• Attending Board… Show more
• Attending Board meetings/Committees to discuss Regulatory updates, Compliance Monitoring program, findings and breach trends.

Canary Wharf

• Managerial responsibility of the compliance team (4 people) in London including the regulated business and Third Party Administration.
• To ensure compliance with all key regulatory issues for London and satellite offices relating to areas such as COLL, SORPs, CASS, COB, SYSC, T&C, AML, PADN and MIFID.
• Attending working parties for the revision of regulations and EU directives – assessing impact on business functions
• Communicating regulatory issues which may affect the business… Show more
• Communicating regulatory issues which may affect the business to various staff levels.
• Attending meetings with regulators/clients and other third parties to discuss compliance related matters.

Canary Wharf

• Evaluating existing SFA and Banking Act systems. Assist with the development of new systems.
• Monitoring line-side observance of compliance standards and produce reports.
• Departmental reviews of standards and processes reporting back findings in presentations to staff at various levels.
• Carrying out random sampling in departmental reviews and assessing audit trails.
• Developing a standard compliance-training programme for various levels of staff.
• Analysing… Show more

A Levels, Business And Accountancy

4 A Levels Business Studies B Accountancy C History D General Studies D

Gcse'S

9 GCSE 8 A-C grade 1 E grade