Compliance Officer

5 days ago

City Of London England, United Kingdom Rev & Regs Full time

Rev & Regs are recruiting for a Compliance Officer role for a dynamic commercial and retail bank.

The Compliance Team, under the leadership of the Chief Compliance Officer, sits within the 2nd Line of Defence Risk and Compliance function, is independent of the business units and is responsible for monitoring and challenging the implementation of the Compliance and Regulatory elements of the Risk Management Framework by the First Line.

Responsibilities:

  • The delivery and completion of thematic reviews as part of the Bank's Annual Compliance Monitoring Plan. Reporting all findings to internal Compliance Management and across applicable business partners.
  • Delivery of second line quality assurance reviews as specified in the 2nd Line Compliance Quality Assurance Plan assessing the strength of a range of first line controls, including call monitoring, complaints handling monitoring, vulnerable customer management, and CCA regulation compliance.
  • The articulation of clear and accurate feedback on applicable second line Thematic and Assurance Reporting to mitigate associated risks and close gaps where required.
  • Working as a business partner to respond to Risk and Compliance queries, with support from Risk and Compliance senior management.
  • Supporting the maintenance, review and approval of accurate and effective departmental policies and procedures.
  • Supporting the closure of Compliance owned Corrective Action Plans and working with relevant key stakeholders to implement actions identified from Thematic and Assurance activities in line with defined delivery dates.
  • Support the creation and publication of monthly reporting to relevant Committees including the management of monthly Board RAS and KRIs.
  • Supporting the management and control of risk across the business through effective review and oversight.
  • Supporting a proactive horizon scanning process, keeping the Risk and Compliance Team and wider business up to date on all regulatory change whilst collating responses from across the Bank in order to maintain accurate records.
  • Contribute to the 2LoD oversight of key projects and programmes across the Group.
  • Support the delivery and management of the Senior Managers and Certification Regime.

Experience:

  • Good knowledge and experience of regulatory responsibilities gained from a regulated organisation.
  • Demonstrable experience of the application of: FCA Principles for Business. TCF and Conduct Risk, Consumer Duty and MCOBS.
  • Experience of a PRA and FCA regulated environment.
  • Strong Risk Management experience balanced with an awareness for commercial opportunity.
  • The ability to review and digest regulatory requirements and publications and distil the information for Senior Manager consumption.
  • An ability to self-teach and conduct research into FCA and PRA regulatory requirements.
  • Experience in Policy Governance and Management.
  • A relevant professional qualification (e.g. ICA, IRM).

Location: Hybrid (3 days per week in City of London)

Salary: £57,000 + bonus + benefits package

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