Our client is a a global banking group with offices based in the City.
THE RESPONSIBILITIES:
Support the maintenance and embedding of the Bank’s regulatory compliance framework around Conduct Risk, Treating Customers Fairly, Complaints Handling, MiFID II, EMIR etc.
Maintain the wider Compliance policy and procedures framework, ensuring that periodic updates to policies and procedures are scheduled, tracked, and executed
Maintain and keep up to date the Bank’s PA Dealing, Compliance Training, Conflicts, Customer Complaints, and Gifts & Entertainment registers etc.
Collate and analyse data and submit relevant reports to the FCA via the Gabriel system
As and when required, provide risk-based and proportionate regulatory compliance input to and support the design and execution of Bank-wide projects
Provide advice and guidance to HR department and other relevant stakeholders with regards to SM&CR
Collaborate closely with other members of the wider compliance team, and share experience, insight and perspectives to support the development of a comprehensive, risk-based and rounded compliance framework and culture
Support the learning and development of other members of the wider compliance department
Analyse the impact of relevant regulatory developments with regards to the Bank’s business, suggest (and where appropriate, execute) appropriate enhancements
Staff and personal development
Stay abreast of developments in regulatory rules and good practice to ensure the Bank’s correspondent banking and trade finance compliance framework remains fit for purpose and up to date with the latest regulatory developments and industry best practice
Develop and deliver relevant and appropriate regulatory compliance training to employees and other stakeholders as and when required
EXPERIENCE REQUIRED:
Relevant experience within a UK financial services environment, gained in a Second Line Regulatory Compliance function
Strong understanding of industry practices and regulatory expectations with regards to the FCA’s conduct rules
Must have good knowledge of the UK regulatory framework with a good understanding of retail/corporate banking operations, products, and processes
Be a UK regulatory compliance subject matter expert with excellent understanding of all relevant aspects of the FCA Handbook, including Conduct Risk, Treating Customers Fairly, Complaints Handling, MiFID II, EMIR etc.
Must be able to understand and apply outcome focused regulation and have a sound risk awareness
For further information please contact Natalie Eshelby
