- Provide up-to-date technical Compliance advice, guidance, training and support in relation to all regulatory matters applicable to the UK branch, with significant focus on the Global Markets, MiFID II, EMIR-related elements of the relevant business lines as well as cover for Global Banking Coverage and Private Banking Compliance as part of the Advisory team.
- Engage and collaborate with other Compliance resources, as required, to support the Compliance Management Framework, Compliance Strategy and to ensure seamless coverage of Policy & Procedure updates and investigations.
- Perform other additional tasks as required from time to time as directed by the Head of Compliance or the Head of International Compliance in Head Office. E.g. support Regulatory Compliance frameworks such as FATCA/CRS, Cross-Border and Market Abuse.
- 5+ years' Compliance experience preferred - either in an Advisory role within a Wholesale Banking or Private Banking environment.
- Degree educated with Legal, Banking and/or Compliance qualifications.
- Relevant experience in a Compliance or Audit function within an international bank, ideally experienced at working within a matrix management organisation across multiple cultures.
- Excellent demonstrable working knowledge of UK and EU banking regulations. Ability to work under pressure and to tight deadlines.
- Strong analytical, interpersonal and communication skills with excellent attention to detail.
- Fluent in English, with very strong written and presentation skills with a proven track record of influencing.
- Proactive, with the ability to generate ideas, think creatively and develop pragmatic solutions.
- Discreet, with high levels of integrity and able to handle highly sensitive information with absolute confidentiality.
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Legal & Compliance - City of London, Greater London, United Kingdom - First Abu Dhabi Bank (FAB)
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1 day ago
Description
Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges.
Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole.
A variety of soft skills and experience may be required for the following role Please ensure you check the overview below carefully.
Job Purpose
To ensure that the FAB business in the UK is carried out in accordance with local rules and regulations and to provide updates and information on compliance matters to the Head of Compliance (UK).
Manage and monitor compliance requirements in the UK and assist the business in achieving compliance with UAE and local regulations as well as Group and local policies and procedures.
Key AccountabilitiesRegulatory Frameworks:
Support and advise the business on operationalising Compliance frameworks to support key initiatives - such as GM Enhancements, Transformation/Integration and Product Development and Governance.
Regulatory Horizon Scanning:
Support horizon-scanning activities, engaging with key stakeholders to review and act upon relevant new or revised regulations that impact the branch.
New Product Review:
Review new product proposals and provide advice on applicable regulatory requirements and necessary permissions to support new activities.
Regulatory Relations:
Together with the Head of Compliance & VP Compliance Advisory, assist with and promote a transparent and effective relationship with UK regulators including proper coordination and preparation for exams, visits and/or calls.
Reporting and Issue Closure:
Support the delivery of succinct and accurate Compliance reporting at branch and Group-level, ensure smooth delivery of duties/tasks and manage follow-ups on corrective actions arising from the Compliance Monitoring Plan and GIA actions.
Legal liaison:
Acting as a key interface with Group Legal on regulatory or legal matters affecting the UK branch.
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