Compliance Manager
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Compliance Manager
Manage the Compliance function overseeing and servicing The Bank of New York Mellon
Role Summary:
Manage the Compliance function overseeing and servicing The Bank of New York Mellon SA/NV (“BNY Mellon SA/NV”) Copenhagen Branch (the “Branch”). Ensure that all business contracted through the Branch are those which the Branch has the necessary passports and prevent any business activity outside of those passports until such time as passport is notified. Provide regulatory advice to the operational business areas for any business contracted through the Branch in line with regulatory requirements, providing support and input to testing reviews involving the Branch and provide advice on appropriate corrective action.
Act as local contact with the regulatory authorities.
Assess regulatory changes and support the business in implementing the necessary controls and procedures.
Report on branch Compliance risks and issues to the entity and Head Office governance bodies on a monthly basis (i.e. local Branch management Committee, Head Office Risk Committee, Executive Committee) and quarterly to the Head Office Risk Committee of the Board.
Ensure regulatory reporting to be prepared and submitted by Compliance are duly produced in line with regulatory expectations, and submitted within deadlines.
Assist the Head Office Compliance Advisory team where instructed by management.
Act as Money Laundering Reporting Officer to the branch and Data Protection Lead for the branch.
Key Responsibilities:
• Compliance Oversight Responsibility for all businesses contracted through the Branch – Under the oversight of the BNY Mellon SA/NV Deputy Head of Compliance.
• Manage and develop the Compliance Function for the Branch with oversight of all relevant business lines contracting through the Branch ensuring the staff employed have sufficient knowledge, experience and skill sets in order to perform their roles.
• Support and provide input to the Compliance Testing programs involving the Branch: in coordination with the EMEA and BNY Mellon SA/NV Compliance Testing teams, monitor the application of relevant regulatory rules by the business contracting through the Branch,
• Report compliance concerns to local and BNYM SA/NV Management and assist the business in remediating the issues raised. environment.
• Interpret and provide guidance to Branch management and operational areas in relation to regulatory change impacting the Branch. Assist the business in the implementation of potentially new required controls and procedures.
• Provide ad-hoc regulatory advice to business areas contracting through the Branch in respect of any Compliance matter relating to the Branch.
• Ensure the liaison and coordination of contacts with regulators and senior Business Unit managers of the Branch.
• Prepare and submit regulatory returns due by the local Compliance Officer in line with regulatory expectations and deadlines.
• Provide Compliance support to business and corporate projects impacting the Branch as required, including those relating to new business take-ons, acquisitions/divestitures and process re-engineering.
• In coordination with the EMEA and BNY Mellon SA/NV Compliance Advisory teams, represent Compliance in BRC and BAC meetings for any matter relating to the Branch.
• In coordination with the BNY Mellon SA/NV Advisory team, provide Compliance input for any transformation initiative impacting the Branch.
• Act as local Data Privacy Lead. Provide advice on branch specific privacy issues and act as the local regulatory liaison on key privacy matters.
• Provide input and review in respect of any Compliance Management Information in respect of the Branch to be reported to the relevant Committees and functions, including but not limited to BNY Mellon SA/NV Compliance MI.
• Act as local MLRO.
Governance Responsibilities:
• Contribute to the effective governance of the EMEA region. Where the job holder acts as a member of Branch or other governance Committees, play an active role in such Committee, offering constructive challenge and helping to support the Committee fulfil its role and responsibilities. Help to ensure that a strong governance culture is embedded within the region, that issues are escalated and cascaded appropriately and that key risks are identified, discussed and mitigated.
• Build a good understanding of the EMEA governance framework, including escalation requirements, and ensure there is clear, appropriate and evidenced apportionment of responsibilities amongst staff members for whom the job holder has management responsibility.
Generic Staff Responsibilities:
• Comply with all BNY Mellon corporate and BNY Mellon SA/NV policies and procedures, including HR policies and procedures, applicable to BNY Mellon, BNY Mellon SA/NV and the Branch
• Alert Compliance and local Branch management immediately of any significant changes to business risks and internal control effectiveness.
• Notify the Branch Management and Compliance Management immediately on discovery of any material regulatory breach impacting the Branch.
• Comply with all Security and Health & Safety policies and procedures applying to the Branch.
Qualifications
• Between 5 to 10 years’ experience acting as Compliance Officer in a credit institution
• Very good knowledge of the Danish banking regulations, including Financial Crime and Data Protection.
• Fluent in Danish and English (working language).
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Information og data
Denne ledige stilling har jobtypen "Finansmedarbejder", og befinder sig i kategorien "Økonomi og jura".
Arbejdsstedet er beliggende i København
Jobbet er oprettet på vores service den 21.5.2021, men kan have været deaktiveret og genaktiveret igen.
- Finansmedarbejder
- København
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