Advice, support and assist SGLB and SGIL, including compliance advisors of the various business and support functions, on matters related to DFA Title VII and on other topics depending on availability:= (i) proactively providing compliance advice to and answer compliance queries, (ii) overseeing complaint handling investigation and resolution, (iii) providing compliance opinion as part of New Product Committees, (iv) reviewing marketing materials and ensuring they are compliant (when required), (v) establishing and maintaining a constructive, open relationship and dialogue with stakeholders in business unit and support unit, (vi) participating in projects to ensure that SGLB and SGIL are prepared for any required changes as a result of new regulatory developments or UK/EU divergences, (vii) assessing the level of regulatory and reputational risks associated with SGLB/SGIL transactions, projects or products and escalating to the appropriate governance for decision-making in accordance with the risk-based approach set out in the policies.
Contribute to the assessment of compliance risk within SG SA/SGLB for DFA title VII requirements primarily as part of the annual exercise (both inherent risk and residual risk after mitigation).
Raise awareness to SG SA, SGLB and SGIL staff, on compliance risk relating those regulations by (i) communicating regulatory changes and news, (ii) designing and delivering compliance training, (iii) actively encouraging a culture of compliance.
Contribute to SG SA, SGLB and SGIL Compliance policies and procedures framework by providing compliance expertise in the drafting of the Compliance policies and procedures relating to DFA falling under the team’s perimeter.
Identify, investigate, and report compliance breaches and incidents related to the team’s perimeter.
Attend and represent SG at appropriate industry working groups on regulatory development topics as appropriate for DFA primarily. .
Contribute to the production of reporting for the local SGLB Management Committees and SGIL governance, including at Board level.
Support the preparation ofthe SG SA Swap Dealer Oversight Committee held on a quarterly basis.
Provide DFA Subject Matter Expert (SME) advice on BAU matters business initiatives, projects, and audits.
Provide support for the preparation of the annual CCO report exercise.
Work closely with the Central team in Paris on common topics and projects related to those requirements.
Assist with regulatory enquiries from FCA, CFTC, NFA or SEC including active participation in regulatory examination.
