Overview

This role will need to deal with senior management and all Conduct Rule staff from differing business lines, as well as the work closely with staff from across Compliance, Human Resources, Legal, Corporate Governance and Business Management.  As such, the candidate must be able to demonstrate strong communication and interpersonal skills.

Roles and responsibilities

Main accountabilities

Working closely with the Manager of Registrations/Head of Central Compliance as well as other key Compliance, HR, Legal and Business stakeholders.

Activities and deliverables comprise the following:

Gifts and Entertainment

  • Regular and direct contact/advice with the bank’s staff, advising them on gifts and entertainment requirements as per the policy.
  • Review and approve any gifts and entertainments requests input into the gifts and entertainment systems.
  • Assist and contribute to the gifts and entertainment policy and procedures.
  • Work on an ongoing basis in the development of the gifts and entertainment system.
  • Provide management information and reports relevant to the gifts and entertainment function for both the business and compliance management.
  • Assist in the training of staff on gifts and entertainment issues.
  • To play a key role in the investigation of breaches and to provide breach and escalation information when staff have contravened the policy.
  • To perform all monitoring tasks associated with the gifts and entertainment function.

Personal Account Dealing

  • Regular and direct contact/advice with the bank’s staff, advising them on personal account dealing requirements as per the policy.
  • Manage the process of account disclosure with new employees.
  • Assist and contribute to the personal account dealing policy and procedures.
  • Work on an ongoing basis in the development of the PAD system.
  • Co-ordinate and participate in the annual  certification process.
  • Provide management information and reports relevant to the personal account dealing function for both the business and compliance management.
  • Assist in the training of staff on personal account dealing issues.
  • Provide breach and escalation information when employees have contravened the policy.
  • Learn and understand the policy and Procedures for Outside Business Interest.
  • Undertake the monitoring process for PAD.

Registrations of Certified and Approved Persons

  •  Management of the FCA and PRA registration requirements, including:
    • Identifying which individuals are required to be approved in conjunction with the Compliance Advisory Teams;
    • Liaison with Human Resources to ensure due diligence checks have been completed prior to registration;
    • Submitting applications to the FCA and informing relevant parties when approvals have been granted by the FSA;
    • Processing de-registrations as appropriate; and
    • Responding to queries, undertaking monitoring and maintenance of records.
    • Undertake appropriate reviews as instructed and issues escalated, including:
      • Reconciliation of  FCA/BNPP Approved Personnel – biannually;
      • 30 day rule ‘Approved Persons’ expatriated to other locations – annually; and
      • Other ad hoc reviews and reconciliations as required.
  • Contribute to improvements to the bank’s registration processes, systems and people.
  • Investigation of registration breaches and follow-up action where required.  Escalation and presentation of significant issues to management, and liaison with relevant Compliance advisors.
  • Ensure relevant and accurate MI.
  • Liaison with other regulated firms seeking confirmation of Training & Competence and ‘product’ experience/knowledge for ex-employees.

Required Experience

Extensive experience in Professional Ethics Compliance which must include PAD, OBI, G&E, SMCR and AP processes at a global investment bank in the UK.

Key Skills/ Competencies

  • Ability to manage relationships and expectations of senior stakeholders
  • Excellent Analytical skills
  • Solid prioritization, interpersonal and communication skills
  • Excellent organizational and multi-tasking skills
  • Strong risk and control orientation, analytical and client focused
  • Strong written, verbal and interpersonal skills
  • Strong ability to build relationships and foster business partnering across multiple disciplines
  • Good understanding of the products used by an Investment Bank
  • Ability to work independently under own initiative
  • Effectively delivering results in a fast paced environment while managing multiple priorities.

You can apply to this job and others using your online resume. Click the link below to submit your online resume and email your application to this employer.