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Compliance Manager

Quantum Group
Closing date
25 May 2022

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Contract Type
Full Time
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We are inviting applications for Compliance Officer based in city london . This is a permanent position start immediately for our Banking client .

Major Skills - FCA, RCF, PRA,Mifid2, GDPR, PRA, Business plans.

Job descriptions-
  • To possess a good, up-to-date understanding of both the PRA and FCA regulatory requirements in particular in relation to COBS, execution only investment business, COBS 10 appropriateness assessments, training and competence, GDPR, MiFID2 and DISP.
  • Remain up to date with regulatory and legislative developments on conduct risk, helping as required to undertake reviews and implementation of new / changes to existing regulation. Undertake gap analysis of regulatory publications, such as FCA and PRA Business Plans
  • To track all relevant publications from our Regulators and notifying the relevant business areas of the Bank. Maintain the Regulatory Change Forum (RCF) log, chair the monthly RCF meetings, ensuring all items are tracked until closure.
  • To act as a Compliance representative in various Working Groups of the Bank as and when required. Contribute to the PAC simplification process and maintain the PAC Note Review tracker.
  • To support the team to co-ordinate compliance issues to ensure that the businesses operate in accordance with the Bank's policies and procedures, and local regulatory requirements.
  • To complete any monitoring related activities relating to the Bank's Private Banking business - including call and email monitoring, and any monitoring reviews documented in the Compliance Monitoring Plan for Private Banking
    • To assist with the publication of the quarterly InTouch Compliance Newsletter.To act as back-up for GDPR, MiFID2 and financial promotion related matters.
      • To assist on ad hoc projects, as required by the Head of Compliance, such as monitoring related activities, analysis of enforcement notices and working with business areas to implement regulatory change.
      Assist the Head of Compliance to prepare reports, as required, for the Bank's governing bodies. Maintain the Compliance Committee/Activities calendar.
      • To provide timely support and assistance to the Business with DAC6 and keeping up to date with regulatory changes and requirements, ensuring the Bank remains DAC6 compliant. Reporting cross-border arrangements to HMRC as required and within stipulated timescales.
      To assist with ensuring the Bank complies with the UK Modern Slavery Act 2015, taking required steps to identify, prevent and mitigate modern slavery in the Bank's operations and supply chains, and publishing the annual Modern Slavery Statement of the Bank on the required websites.
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