SENIOR COMPLIANCE MANAGER - FCA/PRA TECHNICAL EXPERTISE/ADVISORY
EXCELLENT KNOWLEDGE OF COMPLAINCE - WHOLESALE/RETAIL & INTERNATIONAL BANKING
- Perform day-to-day reviews determined by the Compliance Monitoring Plan, produce clear and timely reports highlighting areas of improvement, and track all actions raised.
- Strong understanding of MiFIDII, EMIR, and FCA and PRA handbooks applicable to the Bank.
- Review the Bank's operating procedures, both manuals & actual processes, and review management information from a compliance perspective.
- Recommend improvements where appropriate and ensure that compliance manuals are kept up to date in the light of developing legislation.
- Perform gap assessments and work with the business to close out the gaps from these regulations.
- Monitor the performance and coverage of the compliance plan and make recommendations for adjustments / improvements to the Head of Compliance & Legal.
- Review and update Compliance and other relevant policies and procedures within the organisation.
- To meet objectives and deliver appropriate advice / reports / recommendations within agreed timescales.
- Ongoing advisory / response to queries from business units on the applicable of existing compliance policies, potential transactions / products and / or changes to processes to ensure compliance with existing regulations, includes queries from Treasury, Corporate & Institutional Banking, Global Loan Syndications & Debt Markets and Operations / Client Services departments.
- Develop and maintain strong relationships with other departments and provide appropriate advice on compliance issues. Refer issues to your Line Manager as required.
- Identification, interpretation and assessment of forthcoming regulatory developments that may impact the Bank.
- This covers the regular review of regulatory bulletins, publications and policy announcements; from the UK / European Regulators and various industry trade bodies.
- Management and ongoing support to the business (including liaison with external suppliers) for new / recently implemented regulatory compliance projects.
- This includes - Post-Brexit UK regulatory changes, Conduct/SMCR, MiFIDII / EMIR regulatory processes, periodic transaction reporting look back reviews, Market Abuse Surveillance, Deposit Protection / SCV file enhancements, Payments (PSD2).