Our client is a successful banking firm based in the City.
Obtain reasonable assurance that there are adequate documentation, procedures and resources
Manage and develop the Advisory team members to ensure that all areas of responsibility are appropriately addressed, compliance skill-sets are enhanced and ensuring that opportunities are fairly distributed
Promote the development and integration of compliance advisory systems and processes to facilitate the efficient and effective response to regulatory and business expectations
Harness new technology and automation and embracing technological developments
Drive proactive, efficient, effective and consistent responses to rapidly changing or divergent regulatory requirements
Collaborating with the Regulatory Affairs Team
Cultivate a positive compliance culture across the bank implementing proactive engagement with stakeholders and providing appropriate advice, instruction and influence where needed to mitigate the risk in specialised product areas.
Develop and deliver training materials
Investigate any identified potential or actual breach of relevant rules and regulations and assist
Contribute to advising and providing guidance to senior management- review, advise and obtain reasonable assurance that all relevant Compliance Advisory issues are reported to the relevant control and executive forums and follow up of any related action points.
As a senior member of staff, seek opportunities to take an active role in wider Group initiatives
Work closely with stakeholders in the first, second and third lines of defence in developing and maintaining an effective private side compliance framework, flagging any concerns or issues.
Recognised subject matter expert in corporate banking, capital markets private side business, and conduct from an advisory perspective.
Demonstrated understanding of relevant existing and expected regulations for a banking firm
Positive approach to providing solutions.
Ability to multi-task and work well under pressure.
For further information please contact Natalie Eshelby