Our client is an international bank specialising in commercial and investment banking services.
THE RESPONSIBILITIES:
* Establish, implement and maintain robust compliance, regulatory reporting and conduct frameworks, including policies, procedures, controls, monitoring and governance arrangements, to ensure adherence to all applicable UK legal and regulatory obligations
* Ensure that compliance, conduct and anti‑bribery and corruption policies and governance arrangements are effectively communicated across the Business
* Review, assess and manage requests for exceptions or waivers to compliance policies.
* Lead the development, articulation and ongoing maintenance of compliance risk appetite, working collaboratively with the MLRO, Senior Management and stakeholders.
* Provide oversight and monitoring of first line activities, as well as outsourced activities, and report on compliance with policies, UK legal and regulatory requirements and performance against the compliance risk appetite, making recommendations for enhancement where appropriate.
* Develop and maintain operating procedures to support second line compliance monitoring responsibilities.
* Design and maintain a consistent methodology for, and conduct, regular compliance risk and control assessments, providing recommendations for improvement where required.
* Provide timely and sufficient information on regulatory, conduct and anti‑bribery and corruption risks and related operational activities (including conflicts of interest, gifts and hospitality, expenses, complaints and policy breaches), together with recommendations for remedial actions.
* Offer clear advice and guidance to the First Line of Defence and Senior Management on regulatory compliance, conduct and anti‑bribery and corruption matters, risks and mitigating controls.
* Act as the primary point of contact with regulators, coordinating and managing responses to information requests from regulators and law enforcement authorities.
* Manage the preparation for, and conduct of, regulatory inspections and audit reviews relating to regulatory compliance, conduct, governance and anti‑bribery and corruption, and oversee the timely completion of any follow‑up actions.
EXPERIENCE REQUIRED:
* Significant experience in UK wholesale/corporate Banking/financial services compliance
* SMF16 registered would be advantages
* Experience in a small to medium-size foreign bank would be advantageous
* Experience dealing directly with the FCA and PRA.
* Experience in an SMF role or a senior role under SM&CR.
* Experience working in a Group environment is desirable, with shared oversight across multiple jurisdictions (preferably including the Middle East).
For further information please contact Hannah Tabatabai
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