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Banking Regulatory Compliance Associate

Barbara Houghton Associates
Closing date
7 Jul 2022

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Contract Type
Full Time
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It is essential for all applicants to have previous UK banking experience**

Our client an international bank is looking for a banking Regulatory Compliance Associate to work with the Head of Compliance to identify, measure and manage Compliance for the London Branch, to ensure that London Branch behaves ethically and in full compliance with relevant Laws and Regulatory requirements.

Key responsibilities are but not limited to:

* Provide assistance in developing and implementing a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks.

* Key responsibility for day-to-day monitoring and reporting of compliance risks.

* Maintaining and monitoring compliance with key compliance policies,

* Ensure that compliance procedures, systems and controls are up-to-date and effective.

* Responsibility for escalating any material breaches in compliance to the Head of Compliance.

* Review the latest regulatory developments (mainly from the FCA and PRA) and update the Head of Compliance on them.

* Maintain a detailed understanding of the relevant regulatory requirements

* Be responsible for promoting regulatory awareness through employee training

* Drive the compliance risk assessment process ensuring that the compliance risks are appropriately identified and assessed.

* Assist the Compliance Department and Front Line to ensure that appropriate AML due diligence checks are carried out.

* Assist the Compliance Department in keeping internal processes and procedures up to date as required due to regulatory changes.

Experience and Qualifications

* Knowledge and understanding of the UK regulatory framework affecting Financial Institutions.

* Industry related qualification such as ICA or CISI or ACAMS or degree.

* Good Communicator and willing to continue professional development.

* Exemplary Ethics and Integrity.

* Excellent interpersonal skills for handling diverse situations
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