Deputy Head of Compliance

2 weeks ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY:

We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services.



Apply fast, check the full description by scrolling below to find out the full requirements for this role.


THE RESPONSIBILITIES:

  • Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting
  • Carry out regulatory and various other legal compliance (including AML, ABC, anti-fraud, DPA) advisory, monitoring and ad hoc activities, in particular, by completing delegated tasks and providing cover for the Head of Compliance.
  • Summarising regulatory publications and legal requirements and their impact on the Business, circulating them as appropriate and agreeing action to be taken to address them.
  • Regulatory horizon scanning to identify forthcoming areas that will impact the Business and be able to communicate those requirements to senior stakeholders.
  • Preparing guidance and training on new and existing regulatory and certain legal requirements (and on any remedial action to address identified existing shortcomings) to business units. Tasks include drafting of new policies and reviewing and updating all existing policies for Board approval, drafting or approving departmental procedures and documentation templates (including Key Facts and client agreements and notices) and delivering or approving training.
  • Approving all financial promotions.
  • Investigating and drafting responses to complaints & root cause analysis.
  • Responding to ad hoc requests for advice and assistance.
  • Maintaining a risk-based monitoring plan for agreement with mgt. and the Audit & Compliance Committee.
  • Reviewing and reporting on adherence to regulatory and legal requirements in accordance with the annual Compliance Monitoring Programme or as other risk-based monitoring requirements are identified.
  • Management and tracking of open actions through to completion.
  • Maintaining records of regulatory change and compliance department recommendations for changes to existing policy or procedures, including action being taken and confirming completion of that action.
  • Drafting regular reports for management, including the Operational Risk, Management and Audit & Compliance Committees and Group Compliance.



EXPERIENCE REQUIRED:

  • High level knowledge and understanding of UK regulations including, but not limited to, the FCA/PRA Handbook, PSD2, SMCR, MIFID 2, EMIR, Product Governance and their implications upon the business activities of the bank.
  • Ideally have a high level of knowledge and understanding of compliance policies and procedures including, but not limited to, Customer Complaints, Suitability, Client Assets /Money, Anti-Bribery & Corruption, Conflicts of interest / Inducements, Market Abuse, Personal account Dealing and Gifts & Entertainment.
  • Strong background in corporate banking with a focus on regulatory compliance.





For further information, please contact Marcus Courtney

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