Overview
THE COMPANY: Our client is a successful retail and corporate banking firm. They are looking to hire a Head of Legal and Compliance.
Responsibilities
* Responsible for developing and maintaining Compliance culture within the Bank.
* Create, review and update Compliance policies and procedures in line with regulatory guidelines.
* Compliance Training and competency development.
* Horizon Scanning and mapping of regulations with relevant business and operations.
* Create, review and update of policies and procedures pertaining to Financial Crime
* MLRO Report
* Developing a risk-based Compliance Monitoring Plan (CMP).
* Implementation and review of CMP across departments and branches.
* Follow up on action points emanating from Compliance Oversight Reviews.
* Periodic reporting of KRIs and KPIs to Board Risk Committee / Group Compliance.
* Liaising with internal and external stakeholders including regulators.
* Maintain and update management responsibilities map.
* Oversight of fraud
* Review marketing initiatives / campaigns to ensure adherence to regulatory requirements.
* Accountability and responsibility from all functionaries of Legal & Compliance department
* Mapping of competencies, identification of gaps in skillsets / knowledge and arranging training to address gaps identified.
* Review of legal agreements.
* Legal advice through internal and external sources.
* Maintaining external panel of solicitors
Experience Required
* Excellent Communication and Interpersonal skills with the ability to interact with all levels of staff and management.
* Proven Strong Leadership and People Management skills.
* Analytical and Decisive –
* Sound understanding of current and anticipated UK requirements and supervisory expectations.
* Experience in managing the bank relationship with the FCA / PRA
* Experience at SMF in a banking environment or similar
For further information please contact Natalie Eshelby
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