Regulatory & Cross Border Compliance Advisor

Purpose of the Job

Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our clients and their families, and pride ourselves on our personalized service based on a deep understanding of what clients want to achieve. Compared to others, we are small (<2,000 employees across 50 European and UK locations) with an ambition to stay true to our purpose to be the most trusted fiduciary of family wealth. When you join Quintet you are joining a company that values diversity of background, equal access to opportunities, career development, collaboration and inclusiveness. We want our employees to feel proud of being part of a company that is committed to do the right thing. You will have the opportunity to grow your career while developing personally and professionally through various resources and programmes.

The principal duty of the Cross Border Compliance Officer within the functional Regulatory & Cross-Border Compliance team (‘RCC’) is supporting the Group Head of RCC in ensuring that the functional team delivers high quality cross-border advice to colleagues across all Quintet functions and locations in accordance with Quintet’s cross-border framework. The role holder reports to the Group Head of RCC, and works closely with other EU and UK RCC advisors assisting other colleagues within Quintet’s Group in supporting the Compliance’ cross-border strategy. The remit of the role covers the following areas, core to private banking, financial intermediaries markets and asset servicing: Deposit-taking and payment services, credit and lending, insurance, investment management, regulated advice and wealth planning. 

Key Accountabilities

• Regulatory culture: The role holder must carry out all duties in strict accordance with Quintet’s Code of Conduct, and act as its ambassador at all times. As any other member of the Compliance function the role holder will foster a positive culture of compliance across Quintet.  
• Quintet’s Regulatory Compliance policies and procedures: Drafting and reviewing Quintet’s cross border policies and procedures to ensure cross-border risks are mitigated while they remain aligned to Quintet’s cross border strategy. · 
• Supporting the business: Advising Quintet’s senior managers on strategic decisions for the countries / regions of primary coverage. Supporting other functions in their policy/procedural making by providing them with the necessary regulatory advice in cross border matters. · 
• Governance: Assisting Quintet’s senior leadership team in the production of technical analyses and reports related to regulatory risk for escalation to Quintet’ supervisory and governance bodies. 
• Training: Delivering training on cross-border topics as necessary (ad hoc, classroom, and otherwise in addition to web-based training)  
• Other: Carry out any other duty delegated by Compliance’ senior leadership team as may reasonably be required. 

Knowledge and Experience

• Proven relevant experience in an EU/UK regulator or Tier 1 private bank, legal or professional services firm.  
• Proven knowledge and technical expertise in specialist cross-border regulatory and financial services regulatory knowledge. 
• Ability to interpret rules and regulation and communicate the requirements clearly and effectively to a diverse range of stakeholders. 

Attributes and Qualities

• Aligns to a team with a strong work ethic who, collectively and individually, understand the importance of meeting deadlines through a ‘can-do’ attitude.  
• Ability to work cooperatively and positively within the team and across the business to engage stakeholders in a positive way with a focus on delivering outcomes.  
• To work and conduct yourself with skill, professionalism, discretion and values benefitting a member of the Compliance Department.  
• Ability to engage people effectively in order to recognise and achieve agreed outcomes.  
• Excellent record keeping  
• Effective diary and work management 

Technical Skills

• The role holder will be regarded as a subject matter expert in cross border legal and compliance topics applied to wealth management and private banking and wealth management.

Languages Skills

• Proficient in English required  
• Intermediate knowledge of other Quintet languages (particularly French / German) is preferred