Our client is an international corporate and retail banking group with a global reach.
Have a good understanding of relevant legislation, the PRA and FCA Handbooks
Identifies the regulatory risks the bank faces, mitigating controls and make appropriate changes.
Ensures that the Compliance risk assessments are complete and up to date.
Tracks upstream regulatory change
Help plan, prepare and execute the compliance monitoring programme.
To oversee and carry out conduct risk controls, monitor the business for conduct risk issues and support conduct risk projects.
To ensure appropriate conduct risk management information (MI) is made available to the relevant governance bodies on a timely basis.
To provide advice and training to the business in respect of conduct risk issues.
The maintenance and enhancement, where necessary, of the Conduct Risk Framework
Update policies and procedures as appropriate and ensure that they are fit for purpose;
Advises the business to enable it to demonstrate, on an on-going basis, that it can meet its Consumer Duty and TCF obligations.
Develop effective working relationships with the Bank’s key stakeholders;
The production of the monthly Compliance/Conduct Risk MI and Compliance monitoring reports from time to time.
To act as the point of contact for Data protection matters and support the DPO
Monitor compliance with the UK GDPR and other applicable data protection legislation and with data protection policies.
To undertake breach investigation and reporting into data breaches in line with the Bank’s procedures.
Deliver Data Protection training to staff from time to time
Any other work assigned from time to time.
To make yourself aware about all the Bank’s policies, procedures and other guidelines which are placed in the “Policies for all” folder of the Project drive (which are being reviewed or updated from time to time).
Will report to Head of Compliance.
Strong knowledge of regulatory compliance from a retail or corporate banking background
Knowledge of Central Monitoring and compliance review
People management experience
Strong knowledge of the PRA and FCA regulations
Excellent communication and stakeholder management experience
For further information please contact Natalie Eshelby