Compliance Professionals
Head of Legal and Compliance
London
Posted about 16 hours ago
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THE COMPANY:
Our client is one of the leading banking groups, with an enviable presence in the corporate banking world.
THE RESPONSIBILITIES:
Compliance:
- To ensure the Bank’s operations meet all legal and regulatory requirements and industry guidelines/ practices as set by the FCA and PRA.
- Assume responsibility for quality assurance work within the business by implementing appropriate risk-based compliance, highlighting any key risk areas to senior management.
- Participate in new projects/ activities in order to timely assess and address the compliance risks associated with such projects, updating the Deputy General Manager at all times.
- Provide input and advice which supports new business/ product development using appropriate process channels, ensuring adherence with all applicable regulations including (where necessary) approval of financial promotions.
- Formulate and maintain compliance policies and procedures which are relevant to the business model and local regulatory regime whilst conforming as far as possible to the Group policies and procedures. Ensure that these are kept up to date and reviewed at least annually.
- To provide regular and ad-hoc training to staff on key compliance policies and regulatory requirements, including 1:1 onboarding training for all new staff.
- To review all documentation that contractually binds the business, including client documentation, vendor agreements and other third-party legal agreements and recommend changes or approval to the Deputy General Manager responsible for Legal and Compliance
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Management:
- Responsible for providing effective leadership and management of the Compliance Department to develop high standards of performance for the Compliance department striving to provide optimum level of service to customers (both internal and external) at all times, on a consistent basis.
- Act as a focal point of contact with both the PRA and the FCA concerning regulatory matters, keep the Deputy General Manager and Management Committee updated as appropriate.
- Maintain knowledge and awareness of key regulatory changes impacting the business, including review of relevant local regulatory consultation papers, discussion papers, guidance, policy statements, thematic reviews and enforcement cases.
- Keep Deputy General Manager responsible for compliance department and Management Committee abreast of all relevant regulatory matters, working with key stakeholders concerning any implementation changes required and providing assistance and guidance where necessary.
- Plan and manage all regulatory and internal audit requirements for the compliance functions, highlighting any areas of concern promptly to the Deputy General Manager.
- Resolve and follow up any issues raised by the regulators
- Ensure effective performance management appraisals of the compliance team members are conducted in line with the Bank’s relevant procedures
- Be cognizant of economic, political and social conditions which impact the business and communicate any material changes which could impact compliance matters to senior management
- Develop and maintain a robust Business Continuity Plan for the department
- Develop annual compliance plans to ensure the objectives are monitored periodically so the plan is met.
- Develop and implement strategies to ensure that a strong compliance culture is maintained throughout the branch
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EXPERIENCE REQUIRED:
- SMF16 experience from a banking background
- The academic ability to produce well researched reports to tight deadlines
- Highly advanced MS Office and Excel knowledge required
- Excellent communication skills and translation skills
- Ability to work under pressure to deadlines
For further information please contact Hannah Tabatabai
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Skills
Compliance Management
Legal Review
Risk Management
Regulatory Reporting
Stakeholder Management
Leadership
Policy Formulation
Quality Assurance
Audit Management
Business Continuity Planning
MS Office
Excel
Communication Skills
Translation Skills
Location