•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 Affairs and Enterprise Risk Management as appropriate.•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 •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 Affairs and Enterprise Risk Management as appropriate.•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 programme.•Oversee Global Services AML and KYC programs.•Act as Deputy MLRO •Oversee the development, implementation, review and revisions of compliance manuals, policies, procedures and systems.•Monitor applicable changes in the regulatory risk profile and provide effective change management to address such changes.•Work closely with management to establish an appropriate compliance culture throughout the business units.•Direct the activities of subordinate staff, including hiring, coaching, managing performance and development, of the Compliance staff in the region.•Provide strategic oversight to business line development through identification of key compliance issues and trends. •Ensure that appropriate compliance-related management information is produced and reviewed at appropriate intervals•Report regularly to regional committee with appropriate, timely and relevant information so that the committees can discharge their responsibilities effectively•Act as a liaison with regulatory agencies, internal and external advisors and other internal cntrol groups on compliance- related issues for GS UKMEA and SSFS (UK) Ltd.•Develop effective working relationships and communications with staff and ensure that staff are motivated, developed and supported.•Support a culture of effective challenge •Maintain the highest standards of conduct and integrity and ensure compliance with accepted industry practice, company policies, statute and regulatory requirements Show less

•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 Office of Corporate Compliance, to ensure effective identification, measurement, control and management of compliance risk. •Assist the Head of EMEA Compliance within the Office of Corporate Compliance, responsibility for overseeing an enterprise wide compliance program in… Show more •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 Office of Corporate Compliance, to ensure effective identification, measurement, control and management of compliance risk. •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 Management and Corporate Audit, as appropriate.•Provide support and guidance for the EMEA region on the corporate compliance monitoring and testing programme and testing standards issued form Corporate Compliance.•Assist the business aligned compliance teams in monitoring applicable regulatory changes and provides effective change management within the business unit or Office of Enterprise Compliance to address such changes.•Participate in corporate-wide/regional compliance risk committees.•Work closely with management to establish an appropriate compliance culture throughout the business unit or in the case of the Office of Enterprise Compliance across the corporation.•Act as a liaison person with regulatory agencies, internal and external advisors and other internal control groups on compliance- related issues where the Head of EMEA compliance instructs.•Coordinate and implement corporate wide initiatives and projects for the EMEA region. Liaising with the local business aligned compliance teams for assistance. Show less

• 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 • 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 meetings/Committees to discuss Regulatory updates, Compliance Monitoring program, findings and breach trends.• Attending client/trustee visits to present information to the client on various aspects.• Liaising/interpreting and coordinating information distributed from corporate compliance division • Providing regulatory advisory services were required to various business lines including transfer agency.• Performing overview and due diligence monitoring of outsourced services• Liaising and discussing findings with both management and Senior Management• Secretary to the UK Risk and Compliance Committee and an alternate member for the SSgA representative (Head of UK Compliance). Show less

• 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 • 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 to various staff levels.• Attending meetings with regulators/clients and other third parties to discuss compliance related matters.• Developing/implementing/maintaining a risk based comprehensive monitoring programme. Ensuring this is delivered within the agreed timeframes.• Communication of issues arising from monitoring through written reports and meetings with various levels of staff. • Monitoring of risks to ensure that corrective actions have been taken and produce sufficient evidence to support this.• Liaising with management to introduce management controls and escalation channels for the processes. • Maintaining compliance relationship contact for existing and newly transitioned clients. Show less

• 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 • 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 and reporting to Directors and Head of Departments on progress of FSA Risk Assessment Model and compliance with targets for SFA visits.• Training received on SFA products and regulations. • Secretary to the monthly Operations group, which is responsible for setting processes and introducing new procedures. • Other roles within the department included Budget Co-ordinator and staffing co-ordinator role Show less