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Associate Director

Compliance Professionals
Closing date
22 Oct 2021

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Salary Band
Annual, £70,000 - £99,999
Contract Type
Full Time
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  • Implementation of appropriate regulatory monitoring, testing, key risk indicators, and management information.
  • Product readiness evaluations during phase testing and post product launch, including consideration of the New Consumer Duty.
  • On-going oversight of the outsourced service providers.
  • Effective stakeholder management and collaboration. Partnering with the business, and developing a rapport.
  • Establishing the governance and SMCR structure, 1st and 2nd line responsibilities, and drafting policies and procedures.
  • Setting up all of the required regulatory notifications and reporting, including CASS and SCV.
  • Good working knowledge of the regime, experience of all of the main framework components such as; Approvals, annual renewals, handovers, and training.
  • Experience of compiling applications for approval and the on-going liaison with the regulators.
  • Ability to engage with the Executive and Board.
  • Carry out SMCR inductions, and ongoing training.
  • To provide advisory services within the areas of Remuneration/MRTs identification and ongoing reviews.
  • Carrying out any reviews in relation to GDPR, and ensuring that records are up to date.
  • Analysing the impacts of appropriate regulatory developments.
  • Reviewing and updating policies and procedures.
  • Carrying out required monitoring in the areas listed and other areas of compliance as so required, such as Conflicts of Interest, Whistleblowing, and EMIR etc..
  • Provision of training and awareness sessions to staff as and when required.
  • Compilation of Committee papers, and where required attendance at Committees.
  • Work closely with other areas of the Bank to provide appropriate advisory and guidance, ensuring that positive relationships and coalitions are formed.

  • Good working knowledge and proven experience of successfully establishing a retail product framework, with all associated systems, reporting and controls.
  • Good working knowledge and proven experience of the understanding of the requirements and risks relating to Retail Deposits, SMCR, Remuneration/MRTs and GDPR.
  • Solid, demonstrable knowledge of PRA and FCA rules and requirements.
  • Excellent interpersonal, collaboration and communication skills.
  • Strong project and stakeholder management skills
  • Strong analytical skills and an eye for detail.
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