Our client is leading international bank based in the City.
THE RESPONSIBILITIES:
Focus on MiFID II, EMIR, MiFIR, CASS, Outsourcing, and Financial Promotions, plus other areas as so required.
Compliance Risk Testing & Monitoring Plan – Assisting in the completion of the Compliance Monitoring Programme with subsequent identification of issues, breaches, and appropriate escalation. Provision of MI for committees.
Projects – Assisting in ad hoc projects and thematic reviews as required by the Compliance Team.
Committee Papers – Assisting in the compiling of Committee Papers and any associated actions.
Regulatory Returns – Assist in the data collation and submission of regulatory returns as required by the regulator and providing any assistance in ad hoc requests for information from the regulator.
Regulatory Horizon – Helping the team identify any material regulatory developments, and where needed assessing the impact on the Bank and engaging with relevant stakeholders. Impact assessment assistance.
Training – Assisting in the drafting and sometimes delivery of Compliance Training as required in the Bank’s Compliance Risk Management frameworks.
Administrative – Maintaining and documenting compliance processes, procedures, records, registers, systems and controls.
EXPERIENCE REQUIRED:
Experience of Compliance monitoring, testing, administrative and projects.
Understanding of the UK regulatory environment.
Prepared to further develop skills and knowledge on the role.
A confident, self-starter with a strong sense of ownership and a personal commitment to continuous improvement of controls and processes.
A problem solver who can stay calm under pressure and demonstrate forward thinking with the ability to adapt to all personalities and form positive relationships with colleagues.
For further information please contact Hannah Tabatabai
