Job Description
UK Compliance is an independent function responsible for providing specialist advice and support to UK Senior Management, business lines and functions in adhering to internal controls and external rules and managing compliance risks.
The function typically acts as a second line of defence covering areas including controls, assurance, monitoring, professional ethics, training and competence, whistleblowing, money laundering, market abuse, financial security and regulatory liaison.
The Private Side, Control Room, Functions and Securities Services team provides compliance support in the UK to the Private Side businesses, Functions Advisory, Control Room and Securities Service advisory. Private side activities cover Global Banking, Capital Markets and FIC.
The support includes:
1. Providing compliance advice to the business lines and functions
2. Compliance support to the business lines and functions in alignment with the business compliance strategy
3. Assisting the business lines and functions in their adherence to applicable laws and regulations
4. Interpreting and advising the relevant businesses and functions in adherence to applicable laws, regulations and standards
5. Providing training to business and function staff on relevant laws, regulations and standards
6. Supporting investigation of suspected breaches of laws, regulations and ...