Compliance Officer

THE COMPANY:

Our client is global banking group with offices based in the West End. They offer Corporate banking and Asset management services in the UK market.

THE RESPONSIBILITIES:

• Compliance advisory: assisting with advice on regulatory issues, maintaining compliance framework, training the business in key compliance issues, promoting and measuring high standards of conduct and ethics and an effective compliance culture.
• Compliance monitoring: assisting with ad hoc thematic reviews and control testing, along with maintaining the conflicts of interest, gift & entertainment and complaints registers.
• Regulatory affairs: assisting with identifying and overseeing the implementation of regulatory change impacting the business.
• Assist with managing the relationship with the regulator.
• Support the preparation and submission of regulatory registrations.
• Produce regulatory reports.
• Review compliance policies and procedures against applicable regulatory requirements.
• Assist with ad hoc thematic reviews and control testing.
• Track implementation of recommendations through to completion.
• Assist with monitoring regulatory change (i.e. horizon scanning) impacting the business and its activities.
• Participation in analysing the impact of regulatory change on the firm.
• Provide advice on compliance issues arising in the business, including in relation to any new business initiatives.
• Investigate and remediate regulatory breaches, including notification to the regulators.
• Assisting with the delivery of classroom or remote training to the Business on relevant regulatory topics.
• Providing support for reporting to Board and Executive committees.
• Assisting with preparing and submitting reports to parent.

EXPERIENCE REQUIRED:

• Experience of working in the Compliance department of a Bank or asset manager
• Relevant compliance or investment management certificates or diplomas desirable.
• Educated to degree level or equivalent - preferably a business/law/sustainability related subject.

For further information please contact Hannah Tabatabai