Team Lead Banking

1 month ago

London, UK, United Kingdom Sumitomo Mitsui Banking Corporation – SMBC Group Full time

Purpose of Job


Reporting to the Head of Compliance Monitoring, London, the Vice President role is required to execute assigned monitoring reviews to assist in the completion of the Compliance Monitoring Plan (‘CMP’) and the needs of EMEA’s Compliance Monitoring Programme. The role is required to help ensure the Compliance Monitoring function is effective in its duties as an independent second line of defence function to monitor and assess the adequacy and effectiveness of the Bank’s processes and controls to meet its regulatory obligations.


Accountabilities & Responsibilities

  • Assist in the development and annual planning of the Compliance Monitoring Plan as well as ongoing adjustments to plan;
  • Independently scope and plan all assigned reviews.
  • Execute all assigned monitoring reviews in a timely and thorough manner, and in accordance with Compliance Monitoring procedures.
  • Document testing clearly and concisely, in a re-performable manner and in accordance with Compliance Monitoring conventions.
  • Communicate with review stakeholders throughout the review to avoid any surprises on review close-out.
  • Communicate all findings to the Head of Compliance Monitoring in good time, and prior to review completion, to allow for any further escalation required.
  • Agree issues and actions with stakeholders and document these, along with their associated risks and root causes, independently.
  • Be accountable for the factual accuracy and quality of working papers and findings raised.
  • Manage review stakeholder relationships, keeping the Head of Compliance Monitoring informed of any relevant issues.
  • Be accountable for the completeness of assigned review files, in accordance with Compliance Monitoring conventions.
  • Provide day-to-day support to the CM team, including 4 eyes checks of team communications to stakeholders, where applicable.
  • Perform thorough issue follow up for the actions assigned within deadlines, obtaining sufficient robust closure evidence. Escalate all overdue actions and extension requests to the Head of Compliance Monitoring promptly;
  • Perform line management duties for the London team. This includes, but is not limited to, performance management and staff administration.
  • Supervise direct reports to ensure CMP progress is delivered in line with management expectations;
  • Perform first level review of junior team members’ working papers.
  • Ensure a clear line of communication to the Head of Compliance Monitoring to provide full visibility of team tasks, CMP progress, challenges and stakeholder issues.
  • Work collaboratively on tasks with other members of the CM team and the wider Compliance department, where applicable;
  • Where requested, provide input into relevant technology solutions across aspects of the Compliance function;
  • Prepare MI (e.g. committee reporting) and periodic reports on the progress of the CMP;
  • Attend all Compliance meetings as required and complete mandatory training on a timely basis;
  • Maintain a good working knowledge of the FCA Handbook as well as key products, business operations and regulatory changes which may impact the Group;
  • Where required, assist with and / or co-ordinate Compliance Monitoring related projects;
  • Deputise for the Head of Compliance Monitoring where necessary; and
  • Undertake ad-hoc activities as and when assigned by the Regional CCO or EMEA Head of Monitoring and Surveillance.


Knowledge, Skills, Experience & Qualifications

  • Monitoring and/or Audit experience;
  • good knowledge of financial services, markets, securities and banking activities;
  • strong understanding of risks and controls, including the ability to identify and evaluate risks and controls;
  • knowledge, skills and experience in financial products and services;
  • good knowledge, skills and experience of Prudential risks and Financial Conduct areas;
  • regulatory awareness and understanding of the emerging regulatory landscape;
  • the ability to manage a number of issues/reviews/projects concurrently;
  • good written and verbal communication skills;
  • accuracy and attention to detail;
  • timely review execution;
  • proven people management abilities (including previous experience of managing a team);
  • the ability to build effective relationships across the three lines of defence;
  • well-developed influencing skills;
  • self-motivation;
  • the ability to work independently and as part of a team
  • work under pressure

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