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Compliance Officer

3 months ago

London, Greater London, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is a global banking group offering commercial and retail banking, investment banking, and asset and wealth managements services.


THE RESPONSIBILITIES:

  • Producing draft of policy documentation.
  • Conduct Risk and Compliance assessment, monitoring and reporting raising concerns.
  • Managing and keeping updated, the departments key databases, inclusive Contracts log, Risk Register, RAS, Policy control, Operational Risk Register etc.
  • Engaging with key stakeholders and committees where required to assist with inquiries.
  • Review marketing materials, presentations and websites to ensure compliance with regulatory requirements.
  • Conduct or assist with staff training, inclusive developing training materials.
  • Working with certified staff and senior management to assist with their approval.
  • Managing and monitoring the banks panels of introducers, solicitors, and surveyors.
  • Any other work and supporting role allocated by the Manager, Risk and Compliance (DPO).
  • Assist with Financial Crime related actions and inquiries.
  • Ad hoc work allocated by Senior Management.

EXPERIENCE REQUIRED:

  • Generalist Compliance/regulatory experience ideally form a banking/banking related background
  • Ability to research regulations, guidances and produce analysis and summary reports.
  • Knowledge and understanding of risk, regulatory compliance and corporate governance.
  • Familiarity with retail / wholesale banking rules, regulations and requirements.
  • Senior management engagement experience with ability to work under pressure.
  • Articulate and confident, and able to communicate at all levels.
  • Able to produce draft policies, procedures and reports.
For further information please contact Hannah Tabatabai