Our client is multinational Corporate and Retail banking company based in the City.THE RESPONSIBILITIES:
- To possess a thorough up-to-date understanding of the relevant PRA/FCA rules in particular in respect to SMR, MiFID II and CASS
- Remain up-to-date with regulatory and legislative developments and ensure the implications for the Bank are assessed.
- Maintain and keep up to date all documentation required to allow the Bank to meet its obligations under SMR.
- To assists the Head of Compliance and Head of HR to ensure that staff are appropriately trained on the SMR requirements and Conduct Rules.
- To prepare and submit regular reports on SMR and other Compliance related matters to the Governing bodies
- To assist the Head of Compliance to manage the processes relating to SMR and certification regime
- To assist the Head of HR to manage the embedding and reporting under the Bank's Remuneration Policy and, as necessary, other HR policies relating to SMR.
- To promptly deal with or escalate regulatory breaches to the Head of Compliance and ensure both corrective and preventive actions have been implemented by the business unit.
- To facilitate effective and constructive sharing of knowledge and experience of compliance issues and to effectively engage with all the staff members.
- To manage and complete registrations using the PRA / FCA online platform.
- To undertake other Compliance related projects as directed by the Head of Compliance.
- To act as business partner for Treasury.
- To prepare and present Compliance reports to the Board and management committees to enable effective action to be taken, as necessary.
- Provide support and act as a back-up for CASS related matters.
- SMCR; CASS; MFID II; Governance; PRA / FCA
- Treasury product knowledge ideally
- Compliance projects and board reporting;
- Regulatory work;