Regulatory Compliance Officer - Banking
The Bank is seeking a Regulatory Compliance Officer who will be responsible for ensuring the Bank’s systems and controls meet or exceed the required regulatory standards.
A multinational commercial Bank offering a number of Private Banking products across a range of sophisticated banking products, brokerage services, lending, credit cards and mortgages for exclusive properties.
This Client does not provide sponsorship.
- Responsible for ensuring the Bank’s systems and controls meet or exceed required regulatory compliance standards
- Assist with regulatory filings with the FCA and other regulators as required. Maintain the firm’s FCA Approved Persons Registrations
- Providing assistance in preparation for External / Internal Audits / Client visits
- Organisation and maintenance of Compliance documentation
- Monitor and review regulatory changes from PRA/FCA and other relevant regulators, perform initial gap analysis and help implement changes where necessary
- Help monitor, coordinate and manage the work conducted by the Risk & Compliance teams
- Produce reports for the senior management of the Bank relating to the effectiveness of regulatory compliance as directed by the Risk and Compliance Director
- Manage Compliance / contingency / risk issues within own area of control and for the Bank
- Provide advice on regulatory issues on areas of responsibility to all areas of the Bank’s business
- Monitor adherence to the firm’s compliance with regulations as directed by the Risk and Compliance Director
- Arrange, administer and ensure that all staff have appropriate training in relation to regulatory compliance
- Able to demonstrate knowledge in the core areas if regulatory compliance gained in a financial services organisation
- Ability and confidence to work with senior members of staff
- Excellent communication skills
- Strong planning and organisation skills
- Team player