Junior, Mid-Level
Compliance Officer
As a Compliance Officer supporting Bernstein SG, you will form an integral part of the EMEA and APAC Compliance function. Reporting functionally to the EMEA/APAC Chief Compliance Officer, you will provide operational support to global Compliance teams, perform and coordinate key Compliance controls, and help ensure that regulatory risks, controls and reporting obligations are appropriately identified, tracked and communicated. You will work closely with Compliance colleagues and with Risk, Legal, Operations and business stakeholders across regions to support a consistent and effective compliance risk framework.
Your main responsibilities will include:
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Maintain the compliance risk and permanent control frameworks, ensuring regulatory risks and mitigating actions are appropriately assessed and addressed.
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Perform and manage key permanent supervision controls for global Compliance teams.
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Liaise with Bernstein and Société Générale Compliance colleagues across London, Paris, New York and Asia, providing guidance on regulatory controls.
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Coordinate market-integrity surveillance risks and outputs, supporting investigations, resolution and programme enhancements.
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Manage the input, certification and reporting of Compliance datasets and metrics, including Conflicts of Interest and Key Risk Indicators.
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Coordinate APRC blueprint and anti-bribery and corruption risk assessments, perform controls and liaise with Operations Risk Management.
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Ensure regulatory reporting is delivered on time and coordinated across global Compliance teams.
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Support Compliance Risk Assessments and the Compliance Monitoring programme.
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Assist with registered staff management and the maintenance of staff referential data.
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Coordinate the Normative Documentation roadmap, including policies and procedures.
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Coordinate and respond to reverse KYC enquiries from clients.
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Consolidate and report compliance risk metrics to management.
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Provide business leaders with practical, timely information on key compliance and regulatory risks.
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Collaborate with Compliance Management, Risk and Legal teams on regulatory risks, controls and remedial actions.
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Comply with applicable risk, regulatory and internal policy obligations.
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Undertake additional duties as required.
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