Compliance Analyst
London based
Role Profile
- Deliver the Bank's Compliance Monitoring Plan
- Maintain the regulatory risk horizon scan
- Maintaining the Compliance records (policies, procedures, logs, registers)
- Support the Bank’s compliance risk management framework
- Compliance reporting to the Risk Committee and BCRC
- Support the UK GDPR compliance
- Deliver trainings on compliance related topics
Accountabilities
- Own and manage the Compliance Monitoring Plan and complete the required Testing and maintain the Bank’s CMP Methodology and make summary recommendations for improvements.
- Manage Regulatory Risk Horizon Tracker and undertake any related risk assessments.
- Maintain compliance related logs and registers and provide updates through monthly Compliance Report.
- Act as custodian of all Bank’s Policies, Regulatory documents, Committee Terms of Reference, Registers, Logs, and Procedures. Maintain compliance with review guidelines and dissemination.
- Assist the DPO with UK GDPR compliance through management of data breach incidents, data subject requests, and other procedural matters.
- Monitoring the ‘Compliance’ shared outlook mailbox and respond to requests for Compliance assistance.
- Deliver compliance inductions for new joiners and periodic training to relevant staff on compliance related topics.
Person Specification
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Skills and Attributes |
Essential |
Desirable |
|
Qualifications & Training |
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2/3 years Compliance experience in a Financial Services environment/team |
X |
|
|
Compliance qualifications |
|
X |
|
Good Regulatory Knowledge |
|
X |
|
Good IT skills – Office 365/Excel/PowerPoint |
X |
|
|
Personal |
||
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Attention to Detail / Diligent |
X |
|
|
Highly Organised |
X |
|
|
Good Time Management |
X |
|
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Results Focused |
X |
|
|
Relationship Management skills |
|
X |
Our client is an equal opportunity employer and ensures that no applicant is subject to less favourable treatment on the grounds of gender, marital status, race, colour, nationality, ethnic or national origins, age, sexual orientation, responsibilities for dependants, physical or mental disability. Candidates are selected for interview based on their skills, qualifications and experience.
Please note that we can only consider candidates who are eligible to work in the UK and are able to provide relevant supporting documentation.
For further information, please contact:
Enrico Castagnetti, Wintermann Search & Selection Limited
Email: enrico@wintermann.co.uk
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