Compliance Officer – Depository and Custody

Compliance Officer – Depositary and Custody

Reporting directly to the UK Head of Depositary and Custody Compliance, you will help drive the compliance function, develop and implement a risk-based compliance management framework, assist with the management of compliance risk and oversee all regulatory compliance matters across the Depository and Custody businesses within the Apex UK Group of Companies.

Key Responsibilities

Assist the UK Head of Depositary and Custody Compliance to:

• develop and implement the risk based compliance framework;

• develop and implement the risk based compliance monitoring programme;

• prepare and present reports on compliance and regulatory issues for senior management, including board reports and the collation of management information as required;

• respond to enquiries and information requests from regulators, auditors or clients;

• Advise senior management on regulations and policies which affect the business;

• Keep abreast of industry and regulatory developments, thematic reviews and enforcement actions;

• Represent Compliance in various management and project meetings, committees and new business initiatives;

• Support the wider Apex compliance team on Group initiatives and areas of common interest;

• Establish and maintain good relationships with key stakeholders within the Apex Group and externally as applicable;

• Liaise with external parties such as auditors, regulators, industry bodies and clients;

• Create and maintain local compliance procedures and policies; and

• Development and deliver appropriate compliance training to Board members and employees.

• Preparing / review RegData / Connect reports for submission;

• Assisting in business and client queries related to FATCA/CRS & supporting with submissions.

• Responding to ad-hoc requests received in the compliance inbox such as external due diligence questionnaires.

• Manage and support team members and allocated staff.

• Critical Job Elements

• Contributor to team working

• Attention to detail, ability to work to deadlines and work under pressure

• Confidence and strength of character which arises from a knowledge of subject matter, detail orientated, inquisitive mind to understand regulations, the practical options and limits thereof

• Excellent organisational skills, ability to manage multiple priorities of role AND strong communication with clients and senior management

• Ensures clear, concise and appropriate communication

• Ability to learn systems and technology, to get the best from existing systems, understand the limitations thereof and either drive improvements from or find alternative ways to get what is needed

• Eagerness to understand Apex business lines / products and provide appropriate support

• Focus on business innovation based on the priorities established by the Board

• Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.

• Our Story

• About Apex Group

• We are dedicated to driving positive change in financial services while fuelling the growth and ambitions of asset managers, allocators, financial institutions, and family offices. Established in Bermuda in 2003, the Group has continually disrupted the asset serving industry through our investment in innovation and talent. Today, we set the pace in asset servicing and stand out for our unique single-source solution and unified cross asset-class platform which supports the entire value chain, harnesses leading innovative technology, and benefits from cross-jurisdictional expertise delivered by a long-standing management team and over 13,000 highly integrated professionals.

• We’re a people-powered business, and our people are full of ambition. Together, we’re inspired to lead the new era of data and tech enabled service. Bringing new products and services to market. Sharpening our client focus. Disrupting the market to exceed expectations. Innovating across a range of specialisms. With our focus on making a difference to our people, our planet and our society, you’ll experience more here than you would at most other companies.

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• Working at Apex

• Prepare to accelerate.

• We’re a people-powered business with a vision to inspire a new era of service-led FinTech. We’re expanding globally and offering more to our clients. This means you get more opportunities to grow with us. So prepare to accelerate. We’ll make sure the time and effort you put in takes you further, faster.

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• Positive change starts with you.

• We’re a people-powered business with a vision to inspire a new era of service-led FinTech. We’re expanding globally and offering more to our clients. This means you get more opportunities to grow with us. So prepare to accelerate. We’ll make sure the time and effort you put in takes you further, faster.

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• The journey is yours to own.

• When you stretch yourself, you grow. We want you to explore ways of working that will see you thrive as part of something bigger. We’ll help you with a solid structure, challenging projects, vibrant networks, supportive colleagues and approachable leaders. All the things you need to own your unique journey.

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