Overall purpose of the role
- To gain experience and knowledge of the various teams within the UK Compliance Department and at Natixis London Branch
- To provide consultative, administrative and support services including the performance of routine testing/control work to all business and support units on bank wide compliance requirements in compliance with local regulation and internal procedure
Main responsibilities
UK Compliance Department
- Assisting with the Senior Managers & Certification Regime (SMCR) tasks including organising, where appropriate, regulatory training and exams and the coordination of Staff Movements
- Providing ODEON Ethics Training face-to-face for staff employees for Personal Account Dealing (PAD), Outside Business Interests (OBIs) and Gifts and Entertainment (G&E).
- Maintaining the induction spreadsheet and record of paperwork associated.
- Organisation and maintenance of staff training records for both Compliance face-to-face including induction training and e-learning compliance trainings.
- Maintenance of OBIs, G&E and PAD records in Odeon Ethics assisting with associated paperwork
- Monitoring of G&E records and PAD.
- Maintenance of the Compliance page on the Intranet
- Assisting with the drafting and updating of UK Compliance Department procedures
- Produce Monthly and Quarterly Management Information s, and bi-Annual first line of defence (CPN1 or 1LoD) Figures to Senior Management
- Assisting with controls designed to identify and monitor for non-compliance with French Banking Supervisory Authority regarding internal control
- Assisting the UK Head of Compliance and the UK Compliance Department in its general duties as required from time to time.
- Assisting with the performance of a risk-based Control Plan to identify and monitor for non-compliance with UK regulatory requirements.
- Assisting with quality assurance reviews of the CPN1 framework and perform follow-up work, where applicable.
- Assisting Compliance Controls with the aggregation of data and production of MI to various stakeholders within the organisation.
- Where applicable, follow up on issues identified as part of controls and review work, producing reports of findings when required.
Requirements
- Bachelor’s degree or penultimate year student
- Self-motivated: enthusiasm and aspiration to learn and develop
- Team spirit, commitment, and flexibility
- Organised, methodical, and flexible, ability to investigate perceived or actual issues.
- Good relationship building skills
- Strong analytical skills and attention to detail
- Ability to work effectively under pressure while prioritising appropriately competing objectives
- Excellent presentation skills - ability to communicate clearly and concisely both verbally and in writing
- Strong interest in financial markets and/or risk management
- Understanding of the FCA/EU regulatory regime preferable
