Our client is not looking for an another ‘box ticker' but for an individual that will play a key role in supporting the day-to-day running and management of compliance activities, in particular as they relate to Investment Services in the UK. There will also be plenty of opportunity to work on pan-EMEA compliance issues with the compliance colleagues throughout EMEA.
The responsibilities to include:
- Provide accurate and timely technical advice and guidance to business/business partner colleagues on regulatory compliance issues.
- Identify and analyse emerging Compliance risks and trends. Provide feedback and recommendations to other Compliance and Business colleagues on how to mitigate these risks. Provide strategic direction to the work of the Advisory Compliance team.
- Manage a team of Compliance professionals ensuring the work of the team is produced to a consistently high standard, is relevant and timely.
- Represent Compliance within business driven projects. Provide constructive challenge to help ensure that bank’s regulatory obligations are taken account of within the project.
- Where required act as liaison between the business and the regulators. Ensure that internal colleagues are appropriately prepared for discussions with external regulators.
- Participating in or leading the delivery of Compliance related training.
- Deputising for the Head of Advisory Compliance where required.
- Where required participate in compliance monitoring reviews. This is likely to comprise sharing of information with Compliance Monitoring colleagues regarding the business lines and/or regulatory themes they are planning to review.
- Represent Compliance at the regular board and committee meetings of UK legal entities as required. Ensure that any reports required for those meetings are provided in a timely manner and are focused and relevant to the meeting topic. Provide constructive challenge.
- Work with Regulatory Change colleagues to advise and cascade on any new regulatory requirements, including business/legal entity implementation