Compliance Analyst/Assistant Compliance Manager - Start-up Bank
- To support the continued development of the Bank's second line of defence arrangements, including compliance and financial crime prevention.
- To deputise as appropriate for the Head of Compliance
Our client is a growing SME Digital Bank.
- Pro-actively work with the HoC and the business in order to significantly and positively contribute towards the Bank's commercial success.
- Support the Bank's internal and external compliance and regulatory reporting requirements, including researching and reporting on regulatory change.
- Support the Operations and AML teams with any queries and complaints.
- Provide compliance and regulatory advice to the business, including anti-financial crime considerations.
- Review and update relevant compliance and financial crime manuals, policies and procedures as required.
- Complete compliance regulatory submissions to the FCA via Gabriel and Connect as required.
- Provide information and respond to enquiries from regulators and other law enforcement agencies as may be required.
- In coordination with HR, set appropriate annual mandatory training programme for all staff, including regulatory, anti-financial crime, TCF and conduct subject matter.
- Support the HoC in the day-to-day management of the Bank's Anti-Money Laundering and Financial Crime Management arrangements, including monitoring, investigations and reporting.
- Review adequacy of AML systems and controls with the HoC.
- Production of M.I. for executive committees and Board as required.
- Support various executive committees and subcommittees as appropriate.
- Participate in specific or firm wide project initiatives as a representative of the Compliance team.
- Strong knowledge and experience across Compliance and Financial Crime prevention in a UK bank,
- Strong knowledge of FCA Handbook, PRA Rulebook, JMLSG, FATF, OFSI, MLR amongst others and understanding of regulator expectations, regulatory obligations and industry guidance and best practice.
- Strong technical and systems skills in order to support the continued development of systems and controls to support the bank's second line of defence.
- Experience of stakeholder engagement at internal committee and Board level.
- Experience of designing and implementing new processes and procedures
- Related compliance or financial crime qualification (a nice to have but is not essential).