Senior Compliance Officer - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Your key responsibility:

Establishing a proactive risk-based approach for the identification and prevention of compliance and conduct risks that the London Branch may encounter so that the long-term strategy contributes towards protecting market integritywhich in turn protects the economy, consumers and reputation, shareholders.

Day to day work includes:

Governance & Regulatory Affairs - Facilitate, track and co-ordinate as directed, efforts relating to supervisory engagement, communications.

Identify Risks - As directed and/or develop risk framework to meet both home and host regulators Enterprise and Branch Wide Risk Assessment approach.

Proportionate Risk Controls - Develop, execute and maintain an effective Compliance Risk Management Program (CRMP) for non-financial risks (e.g. compliance and financial crime).

Policy & Guidance - Develop, execute and maintain Policies and other guidance or materials to assist employees in fulfilling their responsibilities.

Training - Develop, execute, maintain and deliver effective training program which is versatile and meaningful to the target audience in addition to the embedding of policies including monitoring of completion and effectiveness.

Regulatory Landscape - Monitor and evaluate the regulatory landscape for the purpose of identify trends, lessons from peer fines and any other relevant development which permits the bank to determine the impact and react in a timely fashion.

Advisory - Provide pro-active advice and solutions to business and other departments in relation to relevant regulatory rules, laws and statutory guidance.

Conduct As directed and/o develop Conduct/culture program supported by relevant MI for Senior Management.

Your experience:

Proven technical Compliance skills gained in UK financial services, Strong knowledge in relation to wholesale products and services, ideally Educated to degree level,Excellent time-management and organisational skills, ability to identify and evaluatecontrol risks within Business Requirement Proven knowledge of UK regulatory framework Requirement Interpersonal skills, communication and presentation skills experience to varied audience