Reporting to the Head of Compliance Monitoring this is a pivotal role to help shape and influence the business by ensuring that policies and procedures are appropriate to the business from the wider risk and regulatory perspective. the role is primarily responsible for the assessment and control of a risk based annual monitoring plan.
The main responsibilities of the position include the following:
- Within the 2LOD create, implement and deliver the annual Compliance Monitoring programme.
- Identify, monitor and asses compliance breaches, complaints and incidents and ensure that these are reviewed, investigated, and responded to in the appropriate fashion and within the appropriate timeframe.
- Review breach registers, incident reports, complaint logs and any other appropriate records prior to any monitoring and report on any identified trends.
- Ensure that compliance manuals and procedures remain up to date and fit for purpose.
- Assist in the preparation for any external visits e.g. FCA
- Prepare and develop the appropriate MI reports.
To be considered for the above position the successful candidate should possess the following skills and experience.
- In depth knowledge, understanding and experience of UK and European regulation e.g. FCA, PRA and the European Commission
- General banking, credit and investment documentation and business and compliance procedures/processes
- Experience with Windows Office applications e.g Word, Excel, Assess, Powerpoint etc
- Knowledge of banking front end systems e.g. GLOBAS and JUPITER.
In exchange for the above my client offers a competitive remuneration and benefits package and the chance to join a leading private bank at an exciting time intheir growth.
A full job description is available upon application.