Compliance Director

at  CBRE

KEY JOB ELEMENTS:

In this role you will be responsible for a variety of tasks, primarily focused on internal control monitoring, process risk assessments, and outsourcing risk management.

Key responsibilities:

• You will be a senior member of the EMEA Compliance function and be the Business partner compliance for the UK AIFM
• Reports into the EMEA Risk and Compliance senior director
• Act as a sparring partner and adviser to senior Corporate and Fund management teams in UK and EMEA on all Compliance related matters
• Will steer and coach two employees based in the UK, and together with the two business partners in the Netherlands and Luxemburg steer the total compliance officers pool through shared resources principles
• Coordinate and sponsor the Compliance themes you are responsible for within the EMEA Compliance team, and deliver on agreed upon action points for the themes.
• Conduct compliance risk assessments to identify potential operational and compliance risks and develop strategies to mitigate those risks.
• Manage reporting for the EMEA Risk Management Committee, ensuring accurate and timely data is delivered from the UK perspective and on Compliance themes as sponsored by you
• Collaborate with the Operations team in a strategic business, with their role of overseeing third parties; perform compliance risk management in relation to this to ensure adherence to our company’s risk management policies and protocols.
• Coordinate regular regulatory reporting required for the regulated entities in the UK.
• Coordinate and work with the other business partners in the Compliance team to bring innovative solutions to the processes and procedures as maintained by Compliance.
• Execute 2nd line of defence activities, providing an additional level of risk control and mitigation.
• Assist the business with reviewing, updating, and designing key control descriptions, ensuring they are up-to-date and comprehensive.
• Assist in interpreting, implementing, and developing compliance policies, procedures, and processes.
• Facilitate the formulation of risk management methodology and implementation of risk management tooling
• Review investment and Fund or program structuring proposals for compliance with AIFMD and/or MiFID and other regulations and company policies prior to submission to European Investment Committee and other management bodies;
• Liaise closely with a number of stakeholders in the business such as Legal, Operations, D&T, Asset Managers, and Fund Controllers.

We are looking for a candidate who is innovative, who has business partnering in their DNA and is able to advise the business on compliance topics, excellent communication skills, and the ability to work effectively in a team environment.

PROFESSIONAL EDUCATION

• University Master’s degree or equivalent. Legal qualification preferred;
• At least 6 years of professional working experience in the regulatory compliance area most of it gained within a leading institution in the financial services industry;
• Eager to take on responsibilities and new challenges; ability to interact efficiently with the business and with other functions.
• Experience gained in an AIFMD and MIFID II regulated real estate (or other asset class) investment management environment;
• Experience in leading business projects with regard to Compliance topics, such as KYC/CDD and implementing Compliance risk controls-frameworks;
• Experience dealing autonomously with regulators such as FCA (UK), AFM (Netherlands) and/or CSSF (Luxembourg);

Key responsibilities:

• You will be a senior member of the EMEA Compliance function and be the Business partner compliance for the UK AIFM
• Reports into the EMEA Risk and Compliance senior director
• Act as a sparring partner and adviser to senior Corporate and Fund management teams in UK and EMEA on all Compliance related matters
• Will steer and coach two employees based in the UK, and together with the two business partners in the Netherlands and Luxemburg steer the total compliance officers pool through shared resources principles
• Coordinate and sponsor the Compliance themes you are responsible for within the EMEA Compliance team, and deliver on agreed upon action points for the themes.
• Conduct compliance risk assessments to identify potential operational and compliance risks and develop strategies to mitigate those risks.
• Manage reporting for the EMEA Risk Management Committee, ensuring accurate and timely data is delivered from the UK perspective and on Compliance themes as sponsored by you
• Collaborate with the Operations team in a strategic business, with their role of overseeing third parties; perform compliance risk management in relation to this to ensure adherence to our company’s risk management policies and protocols.
• Coordinate regular regulatory reporting required for the regulated entities in the UK.
• Coordinate and work with the other business partners in the Compliance team to bring innovative solutions to the processes and procedures as maintained by Compliance.
• Execute 2nd line of defence activities, providing an additional level of risk control and mitigation.
• Assist the business with reviewing, updating, and designing key control descriptions, ensuring they are up-to-date and comprehensive.
• Assist in interpreting, implementing, and developing compliance policies, procedures, and processes.
• Facilitate the formulation of risk management methodology and implementation of risk management tooling
• Review investment and Fund or program structuring proposals for compliance with AIFMD and/or MiFID and other regulations and company policies prior to submission to European Investment Committee and other management bodies;
• Liaise closely with a number of stakeholders in the business such as Legal, Operations, D&T, Asset Managers, and Fund Controllers