Compliance Manager – Personal Account Dealing (PAD) & Ethics
Global Banking Organisation | London (Hybrid – 3 days onsite, 2 days remote)
We are seeking an experienced Compliance Manager / Senior Compliance Specialist to join a Global Banking Organisation, supporting a strategic transformation of its Employee Compliance and Ethics function.
The organisation is establishing an enhanced Ethics operating model, aligning its Personal Account Dealing (PAD) and Outside Business Interests (OBI) frameworks with global Compliance standards.
A key element of this transformation is the implementation of MyComplianceOffice (MCO), replacing existing manual processes with a more automated, consistent and robust Compliance framework. Working alongside an established Change and Technology team, the successful candidate will act as the Compliance Subject Matter Expert (SME), ensuring that regulatory requirements, internal policies and appropriate controls are embedded into the new platform and supporting operating model.
Key Responsibilities:
- Act as the Compliance SME for Personal Account Dealing (PAD), Outside Business Interests (OBI), conflicts of interest and wider Employee Ethics, ensuring adherence to regulatory requirements and internal policies.
- Provide specialist Compliance oversight and guidance throughout the implementation of MyComplianceOffice (MCO), ensuring appropriate rules, controls and approval processes are embedded.
- Review and enhance existing PAD and OBI policies, procedures and control frameworks, addressing gaps and strengthening regulatory compliance.
- Support the development of the future-state Ethics operating model, including governance, risk management, escalation procedures and Compliance oversight.
- Ensure effective controls are maintained across employee personal trading, pre-clearance, restricted securities, outside interests and employee declarations.
- Work closely with Compliance, Change and Technology teams to ensure regulatory requirements are appropriately reflected in system design and implementation.
- Enhance Compliance monitoring, management information, reporting and oversight, ensuring alignment with global policies and regulatory standards.
Skills & Experience Required:
- Strong background within Employee Compliance, Ethics, Personal Account Dealing (PAD) and Outside Business Interests (OBI), ideally gained within a global investment bank or Tier 1 banking organisation.
- Demonstrable knowledge of employee personal trading controls, conflicts of interest, employee declarations and associated regulatory requirements.
- Experience supporting Compliance transformation, regulatory change, system implementations or operational process improvements.
- Ability to interpret Compliance policies and regulatory requirements and translate them into practical system rules, workflows and controls.
- Strong understanding of Compliance governance, operational risk, control frameworks and escalation processes.
- Experience working alongside Change, Technology and Business Analysis teams to deliver system or process enhancements.
- Excellent stakeholder management skills, with the confidence to provide specialist advice and challenge senior stakeholders.
- Strong analytical skills, regulatory judgement and the ability to operate independently within a complex global organisation.
- Previous exposure to MyComplianceOffice (MCO) or comparable employee-compliance platforms such as StarCompliance.
- Experience implementing or enhancing PAD, OBI or broader Ethics monitoring systems.
- Involvement in target operating model design, process reengineering or control automation.
- Familiarity with international Compliance frameworks and cross-jurisdictional regulatory requirements.
- Experience supporting user acceptance testing (UAT), system configuration reviews and implementation readiness from a Compliance perspective.
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