Deputy Head of Compliance

3 weeks ago

London, United Kingdom Compliance Professionals Full time

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

THE RESPONSIBILITIES:

  • To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements.
  • Oversee and manage the regulatory advisory team within the department
  • Manage and oversee the ‘Regulatory Horizon’ scanning function and ensuring all relevant regulatory information is provided to all relevant stakeholders in a timely and proactive manner.
  • To assist in developing and implementing a robust compliance framework which is proportionate to the size and complexity of the business
  • To take action to address any deficiencies in the compliance function with its regulatory obligations.
  • To advise and assist the management team to comply with the obligations under the regulatory regime and to provide frequent reports and advice to senior stakeholders in relation to the above activities
  • To provide advice and guidance on relevant policies and procedures in relation to the firm’s activities from a compliance perspective
  • To maintain and update the Senior Managers Regime registrations in the light of changes in business practice and/or personnel and to assist in directing and advising the firmin relation to its’ controls in respect of the Certification Regime.
  • To investigate and report upon breaches of regulations and initiate any remedial action.
  • To report to the CRO any compliance risk related matters, including conduct risk and relevant matters to the Risk Control Committee
  • To enhance a strong Compliance culture and holistic and integrated end to end view of all compliance risks in the business.
  • To enhance the AML framework and ensure that preventative policies and procedures remain up-to-date
  • Review and approve Training modules
  • To respond promptly to any reasonable request for information made by the PRA and the FCA
  • Make any necessary external reports to external Authorities such as the National Crime Agency
  • Provide input to the MLRO for the Annual MLRO report to Senior Management
  • To carry out such other compliance-related duties at the request of the Head of Department and General Manager
  • To ensure all remedial actions arising from Internal/Head Office Internal Audit or External Audit are remediated in a timely manner.

EXPERIENCE REQUIRED:

  • Substantial experience demonstrating strong understanding of the UK regulatory regime which provides a good foundation across all aspects of general compliance obligations
  • Experience in a banking environment
  • Good working technical regulatory knowledge of the UK regulatory requirements for Wholesale Banking, such as MiFID, EMIR, DGS and LIBOR
  • Must have the ability to interpret regulatory requirements and provide relevant stakeholders with advice on implementation
  • AML/CFT advisory experience
  • Good understanding of current and anticipated UK Regulatory requirements and supervisory expectations

For further information please contact Natalie Eshelby

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