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We are working with our client, an international bank based in London, with their search for a Senior Associate- Legal & Compliance to join their team in London on a permanent basis. The purpose of the role is to perform second line Oversight Reviews and Advisory related to Compliance and Financial Crime.
Develop and implement a Compliance monitoring plan to assess the adequacy and effectiveness of internal systems of control with respect to compliance with laws, regulations and internal policies and procedures
Perform Compliance Oversight reviews as per the Compliance Monitoring Plan
Tracking and follow up on action points emanating from Compliance Oversight Reviews
Identify potential Compliance and Financial Crime risks through oversight reviews; develop and implement appropriate controls to address these risks.
Provide guidance and advice to all areas of the business (including Senior Management, front line staff and support functions) on Compliance and Financial Crime matters. Create, review and update policies and procedures of the bank to ensure compliance with legal and regulatory obligations with respect to Compliance and Financial Crime.
Independent review and investigation of Financial Crime related queries and escalations from financial crime operations, branch operations and other business areas and support functions.
Assist the MLRO/Deputy Manager in Performing Financial Crime Risk Assessments for areas including KYC, AML, Sanctions, ABC, Fraud and Market Abuse.
Compliance representation in projects and various working groups.
Participate in audits both internal and external and ensure the recommendations which have a regulatory impact are implemented by the concerned departments.
Responsible for developing and maintaining compliance culture across the Bank.
Maintain current industry awareness and keep abreast of changes in applicable laws and regulations; provide guidance to Senior Management, department heads on any relevant proposed regulatory changes. And more
Skills & experience required
Analytical with great attention to detail
Good interpersonal and investigative skills
Good knowledge of MS Office
Team player, able to cover for other team absences when necessary, and also able to lead on issues directly under the role remit
Ability and desire to learn new skills
Self starter that is able to work as part of team, with pro-active attitude towards accomplishing tasks
For further information on this exciting role please contact Sonia Smith or send your CV to Sonia@bhal.co.uk
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