Head of Compliance

4 days ago

London Area, United Kingdom Dnevo Partners Ltd Full time

Our client, a London-based Commercial bank is seeking to hire a Head of Compliance. This role comes with a competitive salary and bonus plus great benefits Role scope: Define, implement, and maintain effective compliance, regulatory reporting and conduct policies, procedures, monitoring controls and governance to ensure compliance with all applicable legal and regulatory requirements in the UK and relevant group policy requirements at Head Office, to identify and mitigate regulatory, conduct and anti-bribery and corruption risks. Ensure compliance, conduct and anti-bribery and corruption policies and governance are effectively communicated across the Branch and to Head Office, including any material changes to the same. Review and manage any requests for exceptions to compliance policies of the Branch. Drive the definition and maintenance of the Branch’s compliance risk appetite, working collaboratively with the MLRO, Branch Senior Management and Head Office stakeholders. Perform oversight and monitoring of 1st line activities within the Branch and over outsourced activities, and report on compliance with Branch policies, UK legal and regulatory requirements and performance against the Branch’s compliance risk appetite, making recommendations for improvements where required. Define and maintain operating procedures to effectively discharge the role of the Head of Regulatory Compliance and second line compliance monitoring. Define a methodology and perform regular branch-wide compliance risk and control assessments and provide recommendations for improvements. Provide the Branch Management and Head Office with sufficient information on regulatory, conduct and anti-bribery and corruption risks and operational activities (e.g. conflicts of interest, gift and hospitality, expenses, complaints, policy breaches, etc), including recommendations on corrective actions. Provide Branch Management and Head Office with sufficient information on legal and regulatory developments and the impact on the Branch policies and activities, including recommendations for actions to be taken. Provide advice and guidance on regulatory compliance, conduct and anti-bribery and corruption matters, risks and mitigations to First Line of Defence and Senior Management of London Branch. Create and deliver appropriate role-based training to the Branch’s First and Second Lines of Defence on the regulatory compliance and conduct policies and legal and regulatory requirements, including in relation to the Conduct Rules under the Senior Managers Regime. Demonstrate the required skills, expertise and behaviours when performing the role and ensure compliance with all applicable laws, regulations, Branch policies and codes of conduct, including Conduct Rules for Senior Managers. Act as the central point of contact for relationships with the regulators and co-ordinate responses to information requests made by the regulators or law enforcement. Handle the preparation work and management of inspections by the regulators or Audit visits with regard to regulatory compliance, conduct, governance and anti-bribery and corruption and oversee completion of any follow-up actions. Assist Branch Management with handling legal cases (with outside counsel if required) Comply with all applicable regulatory reporting requirements and ensure timely and accurate submissions of regulatory returns.

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