- Assist the Compliance Advisory Manager to enhance a positive compliance culture by continuing to improve the overall Compliance control environment and framework, identifying, assessing and monitoring compliance risks and updating policies and procedures as necessary.
- Support the Compliance Advisory Manager to deliver Compliance related project(s) as required.
- Assist in the continuing enhancement of the Bank’s Compliance operations.
- Foster a positive working relationship with the Bank’s stakeholders.
- Act as a focal point by providing specialist Compliance support and advice to the business.
- Act as point of contact for the business in dealing with customer complaints.
- Support the Compliance Advisory Manager in the continual evaluation and implementation of relevant Compliance policies, procedures and processes.
- Coordinate Compliance reporting both in the UK and Head Office.
- Monitor for new regulatory developments and report to local senior management and Head Office Compliance.
- Facilitate regulatory project(s) to completion as required.
- Monitor completion of the Annual Compliance Plan.
- Facilitate and / or perform appropriate monitoring, testing, reporting, analysis and investigation in order to identify, report and remediate Compliance risks.
- Constructively challenge existing processes where an alternative solution could improve quality or efficiency.
- Provide support to the delivery of Compliance training on regulatory issues.
- Develop and update Compliance policies and procedures and interact with branch compliance staff to ensure consistency.
- Relevant Generalist experience in compliance functions in a financial services organisation.(ideally Retail/Corporate/Private banking)
- Experience in Retail banking
- Good knowledge of the UK regulatory environment (PRA & FCA).
- University graduate in Legal, Risk or related discipline.
- Excellent understanding of the FCA Handbook and solid experience in applying to the policies and procedures.
- Understanding of Compliance policies and processes and monitoring activities as required.
- Ability to interpret regulations and draft policies and procedures.
- Ability to collate information and draft reports for senior management, maintain logs / management information, interpret data for purposes of regulatory and internal reporting.
- Awareness of regulatory requirements relating to complaints handling (FOS), data protection (ICO), governance risk & compliance (GRC).
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