Compliance Officer

About This Role

This role supports Bernstein SG as a Compliance Officer, forming an integral part of the EMEA and APAC Compliance function. Reporting to the EMEA/APAC Chief Compliance Officer, you will provide operational support to global Compliance teams, perform and coordinate key Compliance controls, and help ensure that regulatory risks, controls, and reporting obligations are appropriately identified, tracked, and communicated. You will work closely with Compliance colleagues and with Risk, Legal, Operations, and business stakeholders across regions to support a consistent and effective compliance risk framework.

Responsibilities

• Maintain the compliance risk and permanent control frameworks, ensuring regulatory risks and mitigating actions are appropriately assessed and addressed
• Perform and manage key permanent supervision controls for global Compliance teams
• Liaise with Bernstein and Société Générale Compliance colleagues across London, Paris, New York, and Asia, providing guidance on regulatory controls
• Coordinate market-integrity surveillance risks and outputs, supporting investigations, resolution, and programme enhancements
• Manage the input, certification, and reporting of Compliance datasets and metrics, including Conflicts of Interest and Key Risk Indicators
• Coordinate APRC blueprint and anti-bribery and corruption risk assessments, perform controls, and liaise with Operations Risk Management
• Ensure regulatory reporting is delivered on time and coordinated across global Compliance teams
• Support Compliance Risk Assessments and the Compliance Monitoring programme
• Assist with registered staff management and the maintenance of staff referential data
• Coordinate the Normative Documentation roadmap, including policies and procedures
• Coordinate and respond to reverse KYC enquiries from clients
• Consolidate and report compliance risk metrics to management
• Provide business leaders with practical, timely information on key compliance and regulatory risks
• Collaborate with Compliance Management, Risk, and Legal teams on regulatory risks, controls, and remedial actions
• Comply with applicable risk, regulatory, and internal policy obligations
• Undertake additional duties as required

Requirements

• Financial markets knowledge
• Compliance and control awareness
• Strong analytical skills
• Critical thinking
• Clear written and verbal communication
• Autonomy and proactivity
• Global stakeholder coordination
• Project management skills
• Organisation and prioritisation
• Adaptability
• Sound judgement and escalation