Banking Senior Compliance Officer
- Employer
- Barbara Houghton Associates Ltd
- Location
- South West London, UK
- Salary
- Competitive
- Closing date
- May 26, 2019
View more
- Job Role
- Compliance Accountant
- Sector
- Finance
- Contract Type
- Permanent
- Hours
- Full Time
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Our client is a reputable and well established bank in London, who seeks to employ a Senior Compliance Officer to be responsible for compliance with all relevant authority and also with in house procedures. This role reports directly to the Head of Compliance. To apply for this role it is essential to have worked within a banking compliance department Main
Responsibilities:
• Deputise for the Head of Compliance.
• Support the Head of Compliance with the development and management of the Compliance Manual.
• Familiarity with Compliance Monitoring Plans.
• Familiarity with SMCR.
• Lead the review, creation and implementation of new policies and procedures.
• Provide compliance advisory services with the help of the Head of Compliance.
• Monitor the regulatory environment, horizon scanning for new FCA requirements and help the business to understand them.
• Support training initiatives for the Compliance Department and other business area.
• Support the sign off on financial promotions.
• Provide critical support and technical expertise to robustly manage all compliance risks across the business.
• Act as a source of professional and technical expertise in order to evaluate, review, investigate, challenge and mitigate the potential for customer and regulatory risk.
• Monitor regulatory developments and react to those that may impact on the firm. Experience & Skills required:
• Minimum 5 years' relevant experience in a similar role
• Excellent knowledge of FCA Rules.
• Experience in a compliance role within retail, trade finance and commercial banking.
• Strong knowledge of the FCA regulations, in particular SYSC, MIFID, SMCR, Conduct Rules, CASS and COBS.
• Excellent written and verbal communication.
• Time management.
• Ability to work with a good degree of autonomy and as part of a team.
• Regulatory compliance and familiarity with compliance monitoring skills.
• Ability to influence at all levels; good judgement and decision making.
• Commercially aware and able to apply a risk-based approach.
• Coaching and training skills.
• Strong analytically and numerically.
• Competent using Microsoft packages. This job was originally posted as www.totaljobs.com/job/86503827
Responsibilities:
• Deputise for the Head of Compliance.
• Support the Head of Compliance with the development and management of the Compliance Manual.
• Familiarity with Compliance Monitoring Plans.
• Familiarity with SMCR.
• Lead the review, creation and implementation of new policies and procedures.
• Provide compliance advisory services with the help of the Head of Compliance.
• Monitor the regulatory environment, horizon scanning for new FCA requirements and help the business to understand them.
• Support training initiatives for the Compliance Department and other business area.
• Support the sign off on financial promotions.
• Provide critical support and technical expertise to robustly manage all compliance risks across the business.
• Act as a source of professional and technical expertise in order to evaluate, review, investigate, challenge and mitigate the potential for customer and regulatory risk.
• Monitor regulatory developments and react to those that may impact on the firm. Experience & Skills required:
• Minimum 5 years' relevant experience in a similar role
• Excellent knowledge of FCA Rules.
• Experience in a compliance role within retail, trade finance and commercial banking.
• Strong knowledge of the FCA regulations, in particular SYSC, MIFID, SMCR, Conduct Rules, CASS and COBS.
• Excellent written and verbal communication.
• Time management.
• Ability to work with a good degree of autonomy and as part of a team.
• Regulatory compliance and familiarity with compliance monitoring skills.
• Ability to influence at all levels; good judgement and decision making.
• Commercially aware and able to apply a risk-based approach.
• Coaching and training skills.
• Strong analytically and numerically.
• Competent using Microsoft packages. This job was originally posted as www.totaljobs.com/job/86503827
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