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    Senior Compliance Officer - Milton Keynes, Buckinghamshire, United Kingdom - Gatehouse Bank plc

    Gatehouse Bank plc
    Gatehouse Bank plc Milton Keynes, Buckinghamshire, United Kingdom

    1 week ago

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    Description
    Compliance Officer (FTC)
    Gatehouse Bank plc
    FTC – 6 months

    This is a 6-month FTC to support the Head of Compliance in ensuring that the Bank adheres to its regulatory compliance responsibilities by providing appropriate compliance oversight over the Bank's operational environment.

    This will be provided through advisory support and compliance monitoring reviews.

    The Compliance Officer (FTC) will be a part of a wider Compliance Team who, working closely with other Risk teams form part of the Bank's second line of defence (2LOD).


    Compliance Framework/Strategy:

    • Provide input and recommendations to the Head of Compliance, or Compliance Manager in relation to the compliance strategy, compliance framework and monitoring plan for the Bank, including in relation to key risks and future potential challenges.
    • Collation and validation of MI to inform compliance reporting to Bank committees and senior management in relation to regulatory risk.

    Advisory/Project Support:

    • Review, investigate and provide support and guidance on referrals to the Compliance Team such as in relation to financial promotions, customer communications and dependent upon role, PEP escalations, Conflicts of Interest, Gifts and Entertainment and Suspicious Activity Reports.
    • Undertake horizon scanning of new regulatory impacts on the Bank, reporting MI as required. Liaising with affected business areas as required to ensure key changes and risks are understood and mitigated.

    Assurance/Compliance Monitoring:

    • Undertake compliance monitoring reviews (including sample checking and/or Thematic Reviews) to obtain assurance as to the Bank's adherence to regulatory requirements in accordance with the agreed Compliance Monitoring Plan and following the Bank's Compliance Monitoring Methodology.

    Financial Crime:

    • Assist in ensuring the Bank remains fully compliant in discharging its AML obligations and to identify any instances of financial crime, fraud, bribery and corruption, or conflicts of interest.
    • Advise the business on proposed activities and the regulatory impact from a financial crime perspective, liaising with the DMLRO, to escalate issues identified.
    Secured financing), and unregulated home finance business.


    • Risk awareness of issues identified for escalation, proposing resolutions.
    • Regulatory standards awareness
    • Strong business report writing and presentation skills.


    Founded in 2007, we are a challenger bank that operates in accordance with Shariah principles, with offices in London, Milton Keynes and Wilmslow.

    We're one of the fastest growing banks of our kind in the UK and are a subsidiary of Gatehouse Financial Group Limited.

    We offer personal and corporate savings products and finance for UK residential and commercial property, in addition to sourcing and advising on UK real estate investments.

    Our way of operating is stable, transparent, and shares risk and reward in an equitable way. 25 days holiday entitlement increasing with service

    • Pension Plan
    • Private Medical Insurance
    • Dental Cover
    • Life Assurance
    • Employee Referral Bonus

    Gatehouse Bank is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of sex, race, disability, age, sexual orientation, gender reassignment, religion or belief, marital status, or pregnancy and maternity.

    Full details of their Privacy Policy can be viewed by using this link

    Financial Services
    Full-time
    Quality Assurance
    Report Writing
    Regulatory Standards
    Compliance Reporting
    Compliance Monitoring
    Regulatory Risk
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