Chief Compliance Officer

3 weeks ago

London, United Kingdom M&T Bank Full time

Overview

Leads Compliance Risk Management activities throughout the UK and the UK Branch. Develops, implements and executes the strategy of the workflow and performance of the function to ensure processes are completed in an accurate and timely manner, in line with the statement of responsibility under the Senior Managers Regime.

Prescribed Responsibilities

(FF) Responsibility for the UK Branch’s Compliance with UK regulatory system

Local Responsibilities including SYSC25 Key Business Functions
- Promote a culture of effective risk management and compliance in the UK in line with the Code of Business Conduct and Ethics.
- Demonstrate ethical leadership and promote the highest standards of integrity, probity and corporate governance.
- Identify all regulatory requirements (in a manner consistent with the attached CRM ‘Compliance Wheel’), analyze their impacts and work with UK management to take appropriate action.
- Work with internal or external Counsel as required to obtain appropriate advice on UK related compliance matters.
- Develop and communicate recommendations that support adherence to regulations, industry best practices and/or the CRM program.
- Evaluate the effectiveness of existing processes and recommend new processes that most effectively anticipate, manage, and reduce compliance risk to the business.
- Assist in the Risk Assessment process to identify compliance risk exposure for the UK and help prioritize compliance risks.
- Escalate and measure compliance risk issues to UK Branch management, CRM management and the lines of business, as well as the first and second Lines of Defense as necessary.
- Assess compliance issues presented through complex new/revised product and service offerings and work closely with UK Management and CRM management to plan a response.
- Interact with UK management, CRM management, lines of business and support partners such as Internal Audit and Legal on an ongoing and regular basis, to ensure the UK is operating within Board-mandated compliance risk tolerance.
- Draft and submit compliance policies, requirements and standards documents to provide a framework for compliance to the MTB Chief Compliance Office, CRM Director and GCM (Global Capital Markets) Senior Compliance Officer for approval. Develop a compliance manual for the UK Branch to ensure it is compliant with UK requirements and relevant US requirements.
- Owner of the M&T UK Branch Conduct Risk Framework including monitoring and reporting.
- Review, approve and assist the UK in the development of procedures, related to daily execution of duties and in conformance with compliance risk management requirements and standards, and designed to achieve compliance with MTB policy and applicable laws and regulations.
- Ensure the UK has appropriate controls in place, as well as reasonably designed, to ensure compliance including a process for filing required UK Branch regulatory reporting.
- Ensure the UK has appropriate monitoring mechanisms in place to identify compliance risks.
- Identify findings where a control gap exists, assist in their resolution, and provide guidance on a remediation plan with the business to address the gap.
- Responsible for developing or engaging external vendors to carry out Individual Accountability and Conduct Rule Training for all UK Branch Staff, Certified Persons and SMFs.
- Responsible for development and maintenance of SMCR policies in conjunction with Human Resources.
- Record and report conduct rule breaches to relevant regulators as required.
- Implement and execute on strategic priorities for the group, potentially impacting the enterprise; assist in implementing the priorities and ensure ongoing compliance across the enterprise.
- Ensure appropriate risk-based testing by the Compliance Testing Group (CTG).
- Provide the business with resolutions to compliance difficulties as, and when, they occur.
- Work with UK Management and/or CRM to design a plan for timely and effective resolution of complex issues identified through monitoring and testing.
- Responsible for UK Branch statutory responsibilities including co-ordination of all regulatory, including FCA and PRA meetings, reporting and information requests to ensure actions and commitments to the regulators are collated, recorded, tracked and appropriately reported and escalated.
- Work with UK regulators and respond to requests for information from regulators and internal auditors.
- Understand and adhere to the Company’s risk and regulatory standards, policies and controls in accordance with the Company’s Risk Appetite and Framework. Design, implement, maintain and enhance internal controls to mitigate risk on an ongoing basis.
- Promote an environment that supports diversity and reflects the M&T Bank brand.
- Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
- Complete other

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