Business and Functions Compliance Officer
- Fixed Term Contract
- 20382
- London
Job Description
As a Business and Functions Compliance Officer you will ensure that all compliance policies, procedures and programmes for the designated banking business in London are up‑to‑date, clear, and meet UK regulatory and legal requirements. You will work closely with regulatory and internal stakeholders to deliver a full range of compliance activities.
- Compliance Policies and Procedures
Maintain adequate, current and detailed compliance policies and procedures. Work with the Regulatory Implementation Officer to deliver an effective regulatory watch and keep the Compliance Internal Procedures Manual up‑to‑date with timely input from Central Compliance.
- Regulatory Advice and Queries
Provide timely and coordinated compliance advice to management and staff. Address inquiries from regulatory bodies and coordinate responses with Operations, Legal and other functions. Evaluate new initiatives or products for regulatory impact and risk, ensuring internal compliance, and arrange appropriate cover during leave or absences.
- Training and Awareness
Develop, organise and deliver regular business‑specific compliance training, themed sessions, induction training and general awareness campaigns in partnership with Central Compliance. Conduct a yearly review of the training programme.
- Compliance Monitoring Programme
Design a comprehensive monitoring programme with Compliance Controls, report on identified weaknesses and oversee implementation of agreed action points. Undertake annual Compliance Risk Assessment, ensuring risks and controls are correctly identified and recorded.
- Rolling Business Reviews
Provide input into the planning and participation in risk‑based business reviews across designated banking businesses, report on weaknesses, and pursue implementation of agreed action points.
- Conflicts Management
Collaborate with Control Room and other Compliance Officers to identify, record and manage conflicts in accordance with policy.
- SMCR, Exchange Registration & Conduct
Assist Central Compliance with FCA registration, certification and conduct queries. Escalate conduct breaches to relevant management and the UK Head of Compliance.
- Management Reporting
Support development and production of monthly management information, ensuring accurate and timely delivery for routine compliance reports.
- Relationship with Head Office Banking Compliance
Foster relationships between the UK and Head Office compliance teams, ensuring consistent application of standards and escalation of cross‑border issues. Monitor London Branch SLA performance and raise any potential issues.
- Relationships within the Team
Develop effective working relationships within the Business and Functions Compliance team, maintain consistent standards across the UK branch, and support colleagues as necessary.
- Audit Points
Resolve audit points within the designated banking compliance area promptly, avoiding overdue recommendations.
- Ad Hoc
Assist Head of Business and Functions Compliance and senior management with ad‑hoc tasks and projects, and represent Compliance on committees and steering groups as required.
Strong technical knowledge of compliance regimes impacting private side businesses, particularly UK & EU, but also AsiaPac and US regulations (MAR, MiFID II, EMIR, FATCA, City Code, Competition Law, Loan Market Association, Dodd‑Frank, Volcker, etc.).
Relevant experience as business compliance in a front‑office investment banking environment, covering multiple business lines and products, especially private side activities.
Excellent communication and presentation skills, able to communicate quickly and clearly at all levels.
Sound analytical skills, good judgement, proven problem‑solving ability.
Ability to prioritise, respond quickly and accurately under pressure, and meet deadlines.
French language skills useful but not essential.
Professional qualification (legal, accountancy, compliance) desirable.
Required Skills / Qualifications / Experience
The incumbent will act as a senior member and lead contact for Business Compliance activities for the designated banking business at Natixis London Branch.
Responsibilities include developing local compliance policies and procedures, coordinating monitoring, and ensuring alignment with Natixis global compliance strategy and the UK Head of Compliance strategy. The incumbent must establish strong relationships within the Business and Functions Compliance team, with designated banking businesses in London and their management, and with Head Office compliance staff.
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