Vice President, EMEA Employee Compliance Advisory

Skills

About the Role

You will provide clear, practical, risk-based compliance advice across EMEA on personal trading, private investments, outside business activities and gifts and entertainment. You will manage complex and sensitive matters, support executives with high-touch service, review exceptions and pre-clearance requests, run the advisory hotline, and use case trends to strengthen the Employee Compliance program.

Requirements

• Significant experience in Compliance, Legal, Risk or a related control function in financial services
• Strong expertise in employee compliance and personal conflicts
• Understanding of conflicts-of-interest regulation, Codes of Ethics and EMEA personal-account-dealing requirements
• Ability to assess complex, sensitive matters and escalate appropriately
• Strong communication and stakeholder-management skills
• Experience working across compliance functions and centralized operations
• Bachelor's degree or equivalent experience; advanced legal or compliance qualification advantageous

Responsibilities

• Provide risk-based Employee Compliance advice across EMEA
• Manage employee queries and submissions on personal trading, private investments, OBA, and G&E
• Issue non-compliance notifications and support OBA and G&E campaigns, training and communications
• Review policy exceptions, escalations and pre-clearance requests
• Provide high-touch support to the EMEA executive population
• Deliver training and communications for functions supporting executives
• Operate the regional advisory hotline and support regulatory and audit activity
• Partner with regional CCOs and cross-functional teams to inform policies, procedures and controls

Benefits

• Annual discretionary bonus
• Healthcare
• Leave benefits
• Retirement benefits
• Education reimbursement
• Family support programs
• Flexible Time Off