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Regulatory compliance officer

2 months ago

London, UK, United Kingdom CER Financial Full time

Regulatory compliance officer

  • Full time/ Permanent
  • Bank - City of London
  • 3 days per week in office
  • Paying up to £60,000

Day to Day

  • Maintain a culture of compliance and ethical behaviour
  • Proactive management of performance and targets
  • Development of appropriate control and reporting structures, including that of segregation and resilience
  • Open and timely escalation and reporting of risk and control issues
  • compliance with human resource policies and procedures, including appraisal obligations
  • Compliance with compliance policies and procedures, including that of conduct rules and related obligations
  • Maintain of staff morale and productivity
  • Timely management of customer queries and regulatory and audit requests
  • Maintain a professional approach to all aspects of work including that of relationships with colleagues and internal / external stakeholders

key responsibilities

Advisory and Policy Execution

  • Assist with the building, design and update of regulatory compliance policies and procedures to minimise regulatory risk.
  • Support business relationships through positive engagement and the proactive identification of regulatory risk and work with management and staff to establish and maintain effective and efficient systems and controls.
  • Undertake horizon scanning of compliance regulation and regulatory change, including preparation of gap/impact analysis.
  • Advise staff on matters of regulatory compliance, including issues of best practice and intended outcomes.

Monitoring and Risk Management

  • Develop and implement compliance monitoring activity to test the efficiency and effectiveness of the regulatory compliance framework and Bank adherence to regulatory requirements.
  • Support development and timely provision of internal/external regulatory reports and related MI.
  • Undertake compliance risk assessments for new products and system developments.
  • Support the delivery of regulatory training, including maintaining training records and attestations.
  • Support internal/external compliance audit activity and remedial efforts.