THE COMPANY: Our client is an international financial services company focusing on wholesale and corporate banking activities.
THE RESPONSIBILITIES: To provide comprehensive advice on regulatory requirements Interpret and communicate complex regulatory change To work closely with key stakeholders and ensure appropriate regulatory advice is provided Work closely with the 'Regulatory Horizon' scanning function and provide support on ensuring all relevant regulatory updates To assist in developing and implementing a robust compliance framework which is proportionate to the size and complexity of the branch's business To take action to address any deficiencies in the Branch's compliance with its regulatory obligations.
To advise and assist the branch Management in complying with the Branch's obligations under the regulatory regime and to provide frequent reports and advice To assist in the development, implementation and review of Compliance policies and procedures.
To provide advice and guidance on relevant policies and procedures in relation to the bank's activities from a compliance perspective.
To support in investigating and reporting regulatory breaches and initiate any remedial action as required.
To enhance a strong Compliance culture and holistic and integrated end-to-end view of all compliance risks To compile training material relevant to key regulatory updates and changes.
To carry out such other compliance-related duties To support in ensuring that all remedial actions arising are managed and completed in a timely manner.
EXPERIENCE REQUIRED: Strong experience demonstrating a solid understanding of the UK regulatory regime which provides a good foundation across all aspects of general compliance obligations.
MiFID experience is key and wider UK regulatory knowledge also important such as EMIR/DGS and LIBOR Must have the ability to interpret regulatory requirements and provide relevant stakeholders with advice on implementation.
Good understanding of current and anticipated UK Regulatory requirements and supervisory expectations.
Strong project management skills.
Strong Stakeholder management skills.
For further information please contact Natalie Eshelby