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Our client is a reputable and well established bank in London, who seeks to employ a Senior Compliance Officer to be responsible for compliance with all relevant authority and also with in house procedures. This role reports directly to the Head of Compliance.
** To apply for this role it is essential to have worked within a banking compliance department**
? Deputise for the Head of Compliance.
? Support the Head of Compliance with the development and management of the Compliance Manual.
? Familiarity with Compliance Monitoring Plans.
? Familiarity with SMCR.
? Lead the review, creation and implementation of new policies and procedures.
? Provide compliance advisory services with the help of the Head of Compliance.
? Monitor the regulatory environment, horizon scanning for new FCA requirements and help the business to understand them.
? Support training initiatives for the Compliance Department and other business area.
? Support the sign off on financial promotions.
? Provide critical support and technical expertise to robustly manage all compliance risks across the business.
? Act as a source of professional and technical expertise in order to evaluate, review, investigate, challenge and mitigate the potential for customer and regulatory risk.
? Monitor regulatory developments and react to those that may impact on the firm.
Experience & Skills required:
? Minimum 5 years relevant experience in a similar role
? Excellent knowledge of FCA Rules.
? Experience in a compliance role within retail, trade finance and commercial banking.
? Strong knowledge of the FCA regulations, in particular SYSC, MIFID, SMCR, Conduct Rules, CASS and COBS.
? Excellent written and verbal communication.
? Time management.
? Ability to work with a good degree of autonomy and as part of a team.
? Regulatory compliance and familiarity with compliance monitoring skills.
? Ability to influence at all levels; good judgement and decision making.
? Commercially aware and able to apply a risk-based approach.
? Coaching and training skills.
? Strong analytically and numerically.
? Competent using Microsoft packages.
Please send a copy of your CV to Judith@bhal.co.uk
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