|Location:||City of London, London|
Compliance & Legal
|Salary:||£500 - £700 per day|
|Duration:||3 - 6 months|
|Job Published:||10 months ago|
The role is Temporary for 3 months initially and potentially outside IR35 however this cannot be confirmed as yet. Rate of pay will be attractive for the successful candidate.
Briefly the duties are as follows;
- Experienced in running a 2nd LoD Compliance function, covering both advisory and monitoring (assurance) activities
- Technical knowledge in Banking and/or Payments regulation - wealth/asset management, insurance, AML/KYC not relevant
- Capability to handle key stakeholders, including representing regulatory view at committees and steercos and agreeing recommendations/actions from monitoring work
- Proven engagement with other lines of defence (business and Audit) as well as other 2nd line teams (Risk, FCP, Legal etc)
- Ideally experience in helping co-ordinate preparations for regulatory assessment visit (PRA expected visit in March/April)
- To liaise, as required, with relevant Senior Management internally
- To manage the provision of regulatory advice within the Bank; both new regulation and ad hoc advice requests
- To create, implement, and manage a risk-based Compliance Monitoring Programme
- To write, and where requested, present CMP reports to relevant Committees, including key departmental metrics
- To ensure that all internal and external regulatory returns (excluding Finance returns) are completed in a timely and accurate manner
- To manage the Compliance Department Risk Register
- To manage and support those employees within the Dept reporting to the CMP Manager
Necessary experience or qualifications:
- An undergraduate qualification or equivalent is preferable.
- A relevant industry qualification is preferable.
- Demonstrable UK experience dealing with High Net Worth clients in private banking, investment management or financial planning would be highly desirable.
- Demonstrable UK Compliance experience in a financial services company dealing with High Net Worth Clients would also be highly desirable.
- Demonstrable experience of effective communication with all levels
Sorry, this job is no longer available