THE COMPANY:
The Client are a multi jurisdiction financial institute offering Private Banking and Real Estate for Corporate & Retail Clients. The firm are looking to hire a Regulatory Compliance Manager to join the team.
THE RESPONSIBILITIES:
* Carry out assessments and maintain the mapping table of the regulatory compliance rulebook against the Bank’s activities, encompassing all applicable regulatory bodies
* Manage and operate the Compliance monitoring programme
* Manage the Compliance Risk Assessment Process
* Conduct thematic reviews
* Risk & Compliance Committee Issue follow up - Compliance findings tracker
* Provide MiFID support
* Conduct periodic compliance monitoring from a 2nd line of defence standpoint, emanating from processes and controls identified from the Compliance risk assessment.
* Assist the Head of Compliance in providing advisory activities to the business areas on day-to-day matters as well as specific requirements.
* Serve as the lead for assessing emerging regulatory matters through the regulatory change working group and horizon scanning.
* Prepare monthly management information relating to monitoring finding and other compliance matters and report into governance committees
* Assist in the logging of, and investigation into, compliance related breaches
* Assist in the investigation and logging of customer complaints, and registering of gifts and entertainment, personal account dealing, data protection matters and other compliance related items
* Assist in Compliance policy creation and enhancements of procedures
* Prepare various regulatory returns as relevant
* Assist the Bank through providing Compliance expertise on initiatives or projects as needed
* Support the broader Compliance team in day-to-day activities as requested
* Support the wider business by promoting a compliance culture through interactive feedback from monitoring reviews
* Deputize for the Head of Compliance as required
* Assist the Banks’ Data Protection Officer to ensure that the business is compliant with the current legislation
EXPERIENCE REQUIRED:
* Relevant experience of regulatory compliance activity in Banking firm
* Relevant retail and MiFID experience desired
* Very strong knowledge of FCA handbooks and associated requirements for Banking firms
* Strong MiFID knowledge is essential and Payment Services Regulations desirable
* Knowledge of banking operational procedure
* Knowledge of 2"line monitoring techniques
* Ability to map regulation to business activity
* Well-versed in monitoring techniques and risk assessment
For further information please contact Hannah Tabatabai