lead and manage the creation, implementation and monitoring of the Corporate Finance and Custody Compliance framework and plans that properly address Compliance needs and requirements in line with laws, rules and regulations.
Provide timely compliance advice and support to the Global Corporate Finance business which focuses on investment banking advisory engagements and capital markets products and services, including but not limited to origination, structuring, execution and syndication of securities offerings, Loan Capital Markets (LCM), Debt Capital Markets (DCM), Equity Capital Markets (ECM), Agency, Custody and Security Services.
Build and maintain productive business relationships with Global Corporate Finance business partners, across the regions, and must have the ability to work cross-functionally to effectively deliver added value to the Business.
Provide compliance advice to Global Corporate Finance business on regulatory developments, policy initiatives, projects, new business initiatives and process improvements.
Oversee and coordinate the Global Corporate Finance compliance agenda.
Act as the main point of contact for the Global Corporate Finance and Custody business for any related matter to Compliance or regulations
Liaise with other Compliance teams, including Financial Crime Compliance and Regulatory compliance teams to ensure the GCF Business are following the latest regulations and best practice.
Maintain and build an effective relationship with the GCF and Custody businesses so that effective escalation of issues is achieved and risk managed.
Manage Chinese Walls within the GCF Business focusing on wall crossings and any potential conflicts on interest in line Group policy and international best practice.
Support the GCF Business to adhere to Group Compliance policies, procedures and processes and assist GCF management to ensure fulfilment of its compliance responsibilities.
Participate in key compliance initiatives and monitor compliance related projects for GCF and Custody Business.
Help with any matter related to overall management of CIB Compliance team.
Execute other duties as directed by the Head of Compliance – CIB.
Control Room Responsibilities
Supervise and manage the activities carried out by the Control Room and ensure a high standard of delivery across the teams' activities, including: maintenance of information barriers, review of wall crossing arrangements and management of insider lists, maintenance of watch and restricted list and review employee requests for personal account dealings (PAD), outside business interest (OBI) and gifts and hospitality (G&H)
Oversee the identification and reporting of all significant regulatory breaches and non-compliance to policies and procedures. Collaborate with Business, Compliance and Legal in enhancing the business policies and procedures, as appropriate to be aligned with the operating environment.
Provide subject matter expertise for the continuous enhancement of Control Room programs to ensure operational excellence
Present and discuss business and regulatory implications, any findings and breaches relating to conduct risk and market abuse to the Head of Regulatory Compliance and Head of Compliance
Maintain independence from other business units and functions in the Bank and protect the confidentiality of Control Room data and information
Work with the key stakeholders to ensure conflicts of interest in relation to business activities/ transactions are identified and managed appropriately
Serve as the primary point of contact in relation to conflict management advice and guidance
Oversee the review and management of the business and personal conflicts of interest of employees. Preserving the integrity of the bank's information barriers by monitoring and controlling the flow of confidential information between the bank's private side businesses and public side businesses
Review and approve wall crossing requests, personal account dealings and other conflicts of interests including outside business activities and escalate specific matters to the appropriate authorities for approval/action in accordance with policies and procedures.
Oversee and provide guidance in the investigation of potential breaches and non-compliance of policies, procedures and regulations. Review and approve remedial activities and disciplinary actions, if any, and monitor the closure of the remedial activities
Escalate all material and significant breaches and non-compliance of policies, procedures and regulations as soon as practicable
Review, approve and endorse Control Room MI reports to be presented senior management
Review management information on Control Room activities to identify risk areas, assess the adequacy of controls and processes and implement appropriate process improvements
Maintain good relationships with all relevant internal and external stakeholders and maintain awareness of major regulatory changes affecting the control room activities including conflict management to ensure applicable Control Room policies and procedures remain compliant
Implement enhancements to Control Room processes, policies and procedures while taking into consideration leading market practices, including new systems and technology that can increase efficiency and effectiveness of the Control Room
Develop relationships with industry peer groups to determine that the Bank meets and contributes to the development of industry best practice
Lead and conduct tailored training and awareness programs on Conduct Risk, Market Abuse, Control Room activities and regulatory requirements to employees and various business areas in the Bank
Seek regular communication from senior management reiterating the importance of adhering to regulations and Control Room policies and procedures
Act as a role model and encourage the right organizational culture towards the management of conflict of interest and confidential information within the Bank
Mentor and impart subject matter expertise to the Control team and motivate the team by fostering an inclusive work environment
Ensure rigorous vetting process on the background and qualifications of Control Room personnel prior to offering the role