Compliance & Legal
|Salary:||£55000 - £65000 per annum + Benefits|
|Job Published:||almost 5 years ago|
The main responsibilities of the position are as follows:
- Own and undertake the annual Compliance Risk Assessment used to inform and drive the rolling Compliance Monitoring Plan.
- Own and undertake a quarterly refresh of the rolling Compliance Monitoring Plan to ensure that the Plan remains on track and is appropriately risk based.
- Own and ensure that all tests detailed in the Compliance Monitoring Plan are completed on schedule, to the required compliance standards and appropriate audit records to a re-performable standard are maintained.
- Conduct off-site visits to complete testing and other tasks, liaise with all outsource functions and Divisions on remedial actions needed and ensure re-testing is completed on an agreed schedule and to robust standards.
- Be responsible for and ensure all compliance monitoring is tracked and monthly reports are provided, including a commentary on progress, for inclusion in the monthly Compliance report to the Board and EXCO.
- Ensure that all compliance matters handled conform to the Bank's policies.
- Perform such other ad hoc duties that may be required as part of ensuring that the Bank has a robust overarching compliance monitoring framework that is working effectively.
- In performing any of the roles required of the position ensure that full and proper consideration is taken of Conduct Risk and TCF requirements, as may be amended from time to time.
- Build, enhance and maintain relationships with key stakeholders and Divisional Heads within the Bank
The ideal candidate will possess the following personal attributes:
The ability to communicate clearly, both verbally and in writing, to both junior and senior staff of the Bank as well as external bodies.
The ability to draft reports in a clear and concise manner, suitable for the Bank's senior management and external distribution.
Attention to detail and strong analytical skills.
The ability to prioritise workloads effectively, operate under pressure and meet deadlines.
The ability to work individually and as part of a team.
In addition to the personal attributes mentioned the ideal candidate should have the following experience:
- Experience of working in a PRA/ FCA regulated environment. For example, SYSC 8, CONC, complaint handling, T&C
- Experience of effectively using and taking ownership of rolling compliance monitoring plans or conducting site visits to review compliance.
- Experience of writing policies and procedure manuals and overseeing their implementation.
- Experience of owning and delivering a rolling compliance monitoring plan.
- Five years plus compliance monitoring experience.
In exchange for the above my client offers a competitive remuneration package and the opportunity to join a prestigious and historical private bank.
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