THE COMPANY:
Our client is an international financial services company focusing on wholesale and corporate banking activities.
THE RESPONSIBILITIES:
Our client is an international financial services company focusing on wholesale and corporate banking activities.
THE RESPONSIBILITIES:
- To provide comprehensive advice on regulatory requirements
- Interpret and communicate complex regulatory change
- To work closely with key stakeholders and ensure appropriate regulatory advice is provided
- Work closely with the 'Regulatory Horizon' scanning function and provide support on ensuring all relevant regulatory updates
- To assist in developing and implementing a robust compliance framework which is proportionate to the size and complexity of the branch's business
- To take action to address any deficiencies in the Branch's compliance with its regulatory obligations.
- To advise and assist the branch Management in complying with the Branch's obligations under the regulatory regime and to provide frequent reports and advice
- To assist in the development, implementation and review of Compliance policies and procedures.
- To provide advice and guidance on relevant policies and procedures in relation to the bank's activities from a compliance perspective.
- To support in investigating and reporting regulatory breaches and initiate any remedial action as required.
- To enhance a strong Compliance culture and holistic and integrated end-to-end view of all compliance risks
- To compile training material relevant to key regulatory updates and changes.
- To carry out such other compliance-related duties
- To support in ensuring that all remedial actions arising are managed and completed in a timely manner.
- Strong experience demonstrating a solid understanding of the UK regulatory regime which provides a good foundation across all aspects of general compliance obligations.
- Good working technical regulatory knowledge of the UK regulatory requirements for Wholesale Banking, such as MiFID, EMIR, DGS and LIBOR.
- Must have the ability to interpret regulatory requirements and provide relevant stakeholders with advice on implementation.
- Good understanding of current and anticipated UK Regulatory requirements and supervisory expectations.
- Strong project management skills.
- Strong Stakeholder management skills.