Compliance Officer

7 days ago

London Area, United Kingdom Compliance Professionals Full time

THE COMPANY:

Our client is an international financial services company focusing on wholesale and corporate banking activities.








THE RESPONSIBILITIES:


  • To provide comprehensive advice on regulatory requirements
  • Interpret and communicate complex regulatory change
  • To work closely with key stakeholders and ensure appropriate regulatory advice is provided
  • Work closely with the ‘Regulatory Horizon’ scanning function and provide support on ensuring all relevant regulatory updates
  • To assist in developing and implementing a robust compliance framework which is proportionate to the size and complexity of the branch’s business
  • To take action to address any deficiencies in the Branch’s compliance with its regulatory obligations.
  • To advise and assist the branch Management in complying with the Branch’s obligations under the regulatory regime and to provide frequent reports and advice
  • To assist in the development, implementation and review of Compliance policies and procedures.
  • To provide advice and guidance on relevant policies and procedures in relation to the bank’s activities from a compliance perspective.
  • To support in investigating and reporting regulatory breaches and initiate any remedial action as required.
  • To enhance a strong Compliance culture and holistic and integrated end-to-end view of all compliance risks
  • To compile training material relevant to key regulatory updates and changes.
  • To carry out such other compliance-related duties
  • To support in ensuring that all remedial actions arising are managed and completed in a timely manner.











EXPERIENCE REQUIRED:


  • Strong experience demonstrating a solid understanding of the UK regulatory regime which provides a good foundation across all aspects of general compliance obligations.
  • MiFID experience is key and wider UK regulatory knowledge also important such as EMIR/DGS and LIBOR
  • Must have the ability to interpret regulatory requirements and provide relevant stakeholders with advice on implementation.
  • Good understanding of current and anticipated UK Regulatory requirements and supervisory expectations.
  • Strong project management skills.
  • Strong Stakeholder management skills.











For further information please contact Natalie Eshelby

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