Operational & Regulatory Support Team Officer- 12 month FTC - 18872

4 weeks ago

London Area, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is a leading international bank based in the City and are looking for an experienced regulatory support individual to join them on a 12 month FTC.









THE RESPONSIBILITIES:


  • To lead, develop and manage the operational & regulatory support team.
  • To review and analyse upcoming regulatory compliance requirements. e.g. CoP (Confirmation of Payee);
  • To develop strong relationships with compliance stakeholders across the business;
  • To identify emerging risks
  • To oversee and lead regulatory change initiatives
  • To lead reporting on risk matters to ensure the business meets its reporting obligations
  • To design and update internal policies
  • To implement any findings of internal and external auditors and to incorporate any necessary updates to procedures;
  • To assist in the resolution of compliance problems following appropriate internal processes;
  • To oversee initial customer due diligence based on bank systems of record
  • To ensure customer files are up-to-date and in line with Bank’s policy and procedures to reduce risk;
  • To investigate AML transactional monitoring alerts
  • To escalate any account suspicions identified
  • To manage responses and resolutions of matters raised in Compliance, Risk and Audit reports；
  • To compile conduct risk MI
  • To assist in resolving any problems or complaints
  • To provide mentoring on Compliance and Anti Money Laundering issues;
  • To oversee the maintenance of account documentation within banking dept;
  • To attend meetings to develop an understanding of business processes;
  • To assist with project work when required;
  • To monitor risk in the department to ensure that risk is minimized;
  • To review the policy and manual or to monitor the policy and manual have been reviewed on time;
  • Conduct daily basic CASS review operation in accordance with established "policies”.











EXPERIENCE REQUIRED:


**Interested individuals must have Consumer Duty, COBS complaints and payments compliance experience**

  • Experience obtained from UK banking;
  • Interested individuals must have Consumer Duty, COBS complaints and payments compliance experience
  • Sound knowledge of bank policies and procedures;
  • Ability to make constructive and practical recommendations and improvements to processes and procedures;
  • Knowledge of FCA guidelines and principles;
  • Knowledge of money laundering prevention;
  • Confident in making decisions;
  • Good attention to detail;
  • Able to communicate effectively












For further information please contact Natalie Eshelby

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