Principal duties and responsibilities

  • Aid and support the Deputy Head of Compliance in ensuring that the regular programme of compliance monitoring reviews are conducted in a timely and efficient manner
  • Review and assess the quality and standards of compliance within the business from a regulatory perspective
  • Monitor and review the implementation of recommendations that have been agreed with the business
  • Assess the relevance of new regulation in respect of the bank's business model
  • Assist in the dissemination of summary and impact analysis to the business
  • Act as the Compliance SME on delegated regulatory projects and BAU implementation
  • Ensure that agreed implementation approach and delivery of PRA and FCA requirements is appropriate for the bank
  • Conduct regulatory analysis as directed, to include control evaluation and report writing
  • Provide ad-hoc advisory support to the business in relation to regulatory requirements
  • Assist with the production of reports and MI for committees and key stakeholder
  • Assist with the documentation, implementation and streamlining of procedures and processes in the department and bank-wide
  • Aid in the provision of staff training on compliance as directed
  • Assist colleagues with departmental projects

Assist with all general department responsibilities