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Markets Compliance Associate/Vice President Paris
senior · Risk & Compliance
Are you ready to make a meaningful impact at the heart of a global financial institution? We are seeking a dynamic and driven Markets Compliance Associate/Vice President to join our Paris-based team. In this pivotal role, you will collaborate closely with Line of Business leaders, global and regional Compliance teams, and key control partners.
As a Markets Compliance Associate/Vice President within the Compliance Team in Paris, you will provide expert guidance on regulatory matters, deliver input on change management, and support business initiatives that shape the future of our Markets business. You will play a vital role in ensuring our activities meet the highest standards of regulatory and reputational risk management, while actively contributing to training, reviews, and policy development.
Job Responsibilities:
- Provide credible, timely, and risk-based advice, challenge, and support on regulatory matters, including 'live' regulatory interpretations and decisions to the business in high-profile and/or time-constrained situations.
- Deliver thought leadership and compliance input to regulatory change management.
- Document and communicate timely input into business initiatives consistent with the firm's regulatory and reputational risk tolerances, such as new product proposals, business re-organization, and review of specific initiatives, transactions, or structures to identify regulatory and control issues (e.g., bespoke corporate derivative transactions).
- Conduct scheduled and ad-hoc training sessions for the business.
- Participate in monitoring and testing activities and identify assurance activities as required.
- Identify, implement, and review compliance policies, procedures, and additional documentation.
- Participate actively in the identification, assessment, challenge, and calibration of risks.
- Contribute to responses to regulatory and exchange inquiries, investigations, and exams.
- Prepare materials for First and Second Line of Defence recipients and act as the compliance representative at relevant forums.
- Oversee the disposition and issuance of policy and conduct violations, partnering with HR, Legal, and other internal stakeholders.
Required qualifications, capabilities, and skills
- Familiarity with Markets structures and products
- Knowledge of key financial services regulation applicable to Markets (e.g. MiFID, MAR) and recently regulatory developments (e.g. Retail Investment Strategy)
- Able to work independently and have sufficient experience to know when to escalate an issue is essential
- "Can do” attitude with the willingness to help others in the team and external to the team
- Possess a high-level of attention to detail and focus on the quality for their work product
- Being proactive, able to think critically about the information presented to them, comfortable with subjective situations, and ready to ask appropriate questions and effectively challenge
- Willingness to go above and beyond to deliver excellence
- Strong communication and presentation skills, with the ability to translate complex regulatory issues into comprehensible messages for a range of audiences and levels and engage with a range of different stakeholders
- Ability to consider the regulators’ position and understand, anticipate and react positively to their requirements and demands.
Preferred Qualifications, Capabilities and Skills:
- Good understanding of broader French regulatory requirements
- Relevant experience of performing a similar role at a global investment bank