Compliance Officer

Vos missions au quotidien:

This role forms an integral part of the performance of the EMEA and APAC Compliance function, undertaking critical tasks to support Bernstein Compliance colleagues and the direct performance of Compliance tasks that support the firm compliance with regional regulations and Group policies.

In conjunction with the Business Units and other Service Units (BU/SUs), The main responsibilities include:

• Providing operational support for the performance of and, where required, undertake Compliance controls for EMEA and APAC Compliance teams.

• Proactive coordination/leadership with EMEA and APAC Compliance teams to ensure Bernstein meets all SG Group regulatory and operational reporting obligations. Ensuring all risk metrics are appropriately recorded, tracked and reported to management.

• Defining and developing improved management reporting of EMEA and APAC regulatory risks and metrics.

• Working alongside Bernstein Compliance teams to ensure business leaders are informed of key compliance and regulatory risks affecting their business areas, offering practical, timely information adapted to the business context to help address and mitigate these risks.

• Proactive collaboration with Bernstein Compliance Management, Risk and Legal teams to identify, manage and address regulatory risks to ensure delivery of appropriate and proportionate controls and, where required, remedial actions.

• Proactively maintain relationships and open communication with and actively promote Compliance within Bernstein business lines and other control functions, providing support where necessary to address compliance requirements in a timely manner.

• Proactively undertake, individually and with Compliance team members, maintenance of the compliance risk framework and permanent control framework, ensuring that the inherent regulatory risks posed by the firm's operations activity are determined, the mitigating factors are considered, and further mitigants are implemented to negate the residual risk.

• Performance and management of key permanent supervision controls for EMEA and APAC.

• Liaise with JV, and where required SG, Compliance staff in Paris, New York and Asia, and provide guidance to Compliance colleagues on the performance of Bernstein/regulatory controls.

• Coordinate market integrity surveillance risks and the output from the firm's surveillance program, engagement with 1LOD to investigate and resolve identified risks. In collaboration with SG and Bernstein Compliance management, identify enhancements to the firm's program, ensuring appropriate collaboration and reporting.

• Management of Bernstein Compliance data sets, metrics, identifying enhancements to align with senior management requirements and promoting the EMEA and APAC Compliance program.

• Ensuring regulatory reporting requirements are met/delivered on time and are appropriately coordinated across EMEA and APAC.

• Assist with the performance of Compliance Risk Assessments and the Compliance Monitoring program

• Assist with the management of registered staff and maintenance of staff referential with regional SME's

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Profile:

• At least 5 years of experience in a similar position.

• Experience in Financial Markets or an audit/control environment is essential

• Having a critical eye and an analytical mind is essential

• High capacity to adapt constantly

• Excellent communication skills, both written and verbal, confident when interacting with employees at all levels

• Able to work with autonomy and in a proactive manner

• Self-motivated with strong work ethic & desire to deliver to high standards

• Team player

• Project management capability; planning work, meeting deadlines, multi-tasking, excellent organizational skills