This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.
As Head of Compliance Advisory you will be leading a high profile and dynamic team supporting the implementation of the Compliance strategy to ensure adherence to regulatory requirements and management of compliance across the team.
Working autonomously in a fast-paced, highly demanding and often changing environment while maintaining attention to detail, you will be leading the team who manage compliance and regulatory related projects, and working with the broader Legal and Compliance team cross-functionally.
The ideal candidate will have experience leading teams and have detailed knowledge of relevant rules and regulations and be experienced in providing compliance support and advice to senior stakeholders.
Key Responsibilities
- Lead, develop and oversee the Compliance Advisory team and develop and support the careers of those within the team
- Take a leading role in overseeing effective Compliance Risk Management in region, and ensuring adherence to Group/ NWM compliance requirements.
- Provide compliance subject matter expertise in an investment banking context, be responsible for developing sound working practices and appropriate guidance to senior management and internal stakeholders
- Investigate and respond to matters related to compliance, including the ability to coordinate internal investigations and any resulting corrective actions with all departments in region.
- Taking a lead role in reviewing the output from audit reports and monitoring and testing activities in region
- Contribute to any read-across analysis in other NWM regions.
- Collaborate with internal senior stakeholders such as legal, business risk management, operations, finance and other control functions to address compliance issues which may impact the function, business, or product.
- Embed any new laws, rules or regulations and implementing policies, procedures or other controls necessary to comply with the rules.
Education and Experience:
- Solid experience of leading an Advisory team
- Law degree qualified individual with experience working with US Regulators
- Knowledge of relevant compliance laws, rules and regulations.
- Strong organizational and leadership skills and the capability to handle multiple projects at one time.
- Strong interpersonal skills with the ability to work collaboratively with people at all levels of the organization.
- Excellent written and verbal communication skills.
- Ability to work independently.
- Proficient in the use of technology
- BA/BS required, MBA a plus.
The expected base annual salary range for this position is $250,000-$285,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran – review "EEO Is The Law", “EEO is the law- Supplement” & “Pay Transparency Provision” posters here.
Hours
40
Job Posting Closing Date:
Job Posting Closing Date is not yet published.
Top Skills
What We Do
We’re a business that understands when our customers and people succeed, our communities succeed, and our economy thrives. As part of our purpose, we’re looking at how we can drive change for our communities in enterprise, learning and climate.
As one of the leading supporters of UK business, we’re prioritising enterprise as a force of change. We’re focusing on the people and communities who have traditionally faced the highest barriers to entry and figuring out ways to remove these.
Learning is also key to our continued growth as a company in an ever changing and increasingly digital world. By setting a dynamic and leading learning culture, our people prosper, and our customers are given the tools to continue to improve their financial capability and confidence.
One of the biggest challenges we all face in our future is climate change. That’s why we’ve put it right at the core of our purpose. We want to champion climate solutions with financing and entrepreneurial support, fully embed climate into our culture and decision making, and be climate positive by 2025.
We’re committed to using our purpose to break down barriers, drive change and ultimately create a great place to work.
