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Regulatory Compliance Manager & DPO

Barbara Houghton Associates
Closing date
7 Jul 2022

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Contract Type
Full Time
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Our client an international bank is seeking a Regulatory Compliance Manager & DPO to join their team on a permanent basis. The successful candidate is required to possess a solid regulatory compliance knowledge gained within the financial services industry, combined with at least one year's financial services in-house paralegal experience. Prior experience of GDPR and data protection legislation will be an added advantage.

• Regulatory Compliance Officer for the Bank.
• Take ownership and maintain bank's policies and procedures. The candidate is expected to undertake regulatory horizon scanning and communicate any changes that affect the business.
• Provide legal support for business including assistance with drafting and negotiating agreements and regulatory responses and liaise and take ownership of relationship with external lawyers.
• Compliance with GDPR, and other Data Protection legislations.
• Establishing and maintaining the universe of regulations applicable to the Bank.
• Mapping of applicable regulations to all areas of the Bank.
• Horizon Scanning: keeping abreast with the new regulatory changes and identifying the areas where the new changes in the regulations are relevant.
• Advisory Capacity: advice on new regulatory changes/changes in the current regulations and its application to the relevant areas.
• Monitoring activities: carry out oversights on effectiveness and adequacy of regulatory compliance on a Risk based approach.
• Reporting to Board and management Committees with respect to regulatory changes; findings and recommendations based on monitoring reports.
• Maintaining a log of regulatory breaches and reporting of breaches to Senior Management, Boarding and Management committees and to regulators where applicable.
• Carries out duties of "Legal Adviser" in accordance with the Legal Department Policy and Procedures Manual in place
• Review, draft, negotiate and approves all legal documentation for the UK branch and subsidiary all marketing material and all corporate and individual loan, facility and Treasury,ISDA, and documents required inter-Bank, but excluding personnel and employment contracts, documents drafted by external lawyers appointed and instructed by the Bank
• Coordinate, instruct and monitor external lawyers in the UK, ensuring effective representation of Bank's interests and act as pro-active adjunct to external legal team, providing primary Bank contact for instructions and decisions in all actual or potential litigation cases involving the Bank, including settlements. Advice on extra-territorial issues and enforcement as required
• Select, instruct, and monitor legal and other professional advisers who would act on behalf of the Bank in legal matters to assist in the above or as required, and negotiate the level of their fees, reporting to the Head of Legal & Compliance, as appropriate, on progress and recommend course of action. Conduct on-going review of the panel of external legal advisers, recommending additions/removal to Head of Legal & Compliance
• When requested, provide English law advice and liaises with external experts to assist Group Head Office

Skills and knowledge:
• At least 10 years of Banking experience with over 5 years of working within Legal & Compliance function
• Graduate Degree
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