Our client is multinational Corporate and Retail banking company based in the City.
To work closely with the Head of Compliance to co-ordinate various compliance issues (Conduct risk, AML, Fraud, Senior Managers Regime) with a view to ensuring that the businesses operate in accordance with the Bank’s policies and procedures, and local regulatory requirements.
To oversee and manage the Compliance and Financial Crime Prevention functions in absence of the Head of Compliance.
To develop and implement relevant and appropriate monitoring activity in the businesses.
To closely manage and maintain positive, open relationship with the regulators.
To help provide guidance and advice to businesses on procedures and processes necessary to ensure, and demonstrate, compliance with the Bank’s policies.
To help ensure that businesses have adequate controls, procedures, systems, training and other arrangements (preventative and detective) to enable them to deal appropriately, and on a timely basis, with applicable conduct risk, Senior Managers Regime, Data Protection and Financial Crime Prevention related requirements.
To support the development of compliant, flexible and robust systems, procedures and controls within the businesses to meet conduct and AML objectives and improve the businesses’ performance in these areas.
To help ensure that relevant and reliable management reports are delivered to management and board committees on a timely basis in order to enable effective action to be taken where necessary.
To facilitate effective and constructive sharing of knowledge and experience of compliance issues and to effectively engage with other parts of the Group.
Wide-ranging compliance experience in a retail or investment banking financial services environment.
Good understanding of current and anticipated UK regulatory requirements and supervisory expectations.
Experience and qualifications specific to the role
Educated to Graduate level or relevant industry qualifications
Minimum of 5 years’ experience in Compliance and AML
Minimum of 5 years’ experience working with FCA and PRA regulators and with Board level stakeholders
For further information please contact Natalie Eshelby