Compliance Officer

Our client, an international Bank, is looking for a Compliance Officer for their London Office.  Further details below:-

Role Overview and Objectives

Summary of what the role delivers for the business:

• Responsible for supporting the compliance function of the bank including monitoring.
• Providing compliance guidance and support to key stakeholders.
• Providing cover to the Manager, Risk and Compliance.
• Deep Dives on CMP
• Compliance  Monitoring Activities

Key Accountabilities:

• CMP Deep Dives
• Monitoring & Testing
• Policy Development
• Horizon Scanning support

Core Duties:

• Producing draft of policy documentation.
• CMP tracking, testing, monitoring and deep dives.
• Conduct Risk and Compliance assessment, monitoring and reporting raising concerns.
• Managing and keeping updated, the departments key databases, inclusive Contracts log, Risk Register, RAS, Policy control, Operational Risk Register etc.
• Engaging with key stakeholders and committees where required to assist with inquiries.
• Review marketing materials, presentations and websites to ensure compliance with regulatory requirements.
• Conduct or assist with staff training, inclusive developing training materials.
• Working with certified staff and senior management to assist with their approval.
• Managing and monitoring the banks panels of introducers, solicitors, and surveyors.
• Any other work and supporting role allocated by the Manager, Risk and Compliance (DPO).
• Assist with Financial Crime related actions and inquiries.
• Ad hoc work allocated by Senior Management.

Skills and Knowledge:

• Ability to research regulations, guidances and produce analysis and summary reports.
• Knowledge and understanding of risk, regulatory compliance and corporate governance.
• Familiarity with retail / wholesale banking rules, regulations and requirements.
• Senior management engagement experience with ability to work under pressure.
• Articulate and confident, and able to communicate at all levels.
• Able to produce draft policies, procedures and reports.
• Complaint handling.
• SM&CR.
• Regulatory horizon scanning.
• Financial Crime / AML.
• To be completed post finalization of revised competencies framework

Conduct Rules and Responsibilities

• Individuals in this role must adhere to the regulatory Individual conduct rules:
• Act with integrity
• Act with due skill, are and diligence
• Be open and cooperative with the FCA, the PRA and other regulators
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standards of conduct; and

Key Relationships:

Internal/External

• CCO DCEO CRO CEO

• Heads of Departments and HR
• Rova UK
• Auditors (Internal and Group)
• Legal
• Manager Risk and Compliance & DPO       
• Auditors
• PRA/FCA communication support

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

Mobile:       +44 (0)7711 267500

Email:         enrico@wintermann.co.uk