Cop Ops control and Regulatory Support

1 month ago

London, United Kingdom Barbara Houghton Associates Full time

Our client is seeking a Cop Ops control and Regulatory Support to join their team on a 12-month FTC basis. You will be required to work from the Office 5 days per week.

The successful candidate will be responsible for assisting the Department Head to ensure the department meets the regulatory requirements and internal policies.

To lead, develop and manage the operational & regulatory support team.

* To review and analyse upcoming regulatory compliance requirements. To identify emerging risks and report details to relevant business units.

* To oversee and lead regulatory change initiatives to ensure that changing and new regulation is embedded appropriately.

* To lead reporting on risk matters to ensure the business meets its external Conduct and Prudential reporting obligations.

* To design and update internal policies to mitigate the risk of the breaching laws and regulations.

* To oversee initial customer due diligence based on bank systems of record, existing document repositories and publicly available information to reduce AML and regulatory risk.

* To review business documentation and other additional information provided by the line of business to ensure customer files are up-to-date and in line with policy and procedures to reduce risk.

* To investigate AML transactional monitoring alerts forwarded by Compliance and Legal and to liaise with customers to obtain clarification.

* To escalate any account suspicions identified to Compliance & Legal.

* To manage responses and resolutions of matters raised in Compliance, Risk and Audit reports:

* To compile conduct risk MI every quarter to forward on to Compliance and other departments.

* To assist in resolving any problems or complaints and to prepare letters of acknowledgment and resolution.

* To provide constructive support and feedback.

* To provide mentoring support to new starters and existing on Compliance and Anti Money Laundering issues.

* To oversee the maintenance of account documentation.

* To assist with project work when required.

* To monitor risk in the department to ensure that risk is minimized.

* To respond to requirements from internal and external audit, risk & ALM dept, compliance & Legal Dept and head office.

* To review the policy and manual or to monitor the policy and manual have been reviewed on time.

* Conduct daily basic CASS review operation in accordance with established policies.

Sound knowledge of bank policies and procedures.

Computer literate with excellent keyboard skills.

Working experience relative to CoP (Confirmation of Payee) project is welcome.

For more information on this role please contact Judith Webb quoting ref (phone number removed)BH

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