Head of Compliance- SMF16 *Exclusive

Overview

Our client is an international corporate bank , offering a range of corporate banking services

• Manage and advise on compliance with the requirements of the Branch’s UK regulators and relevant UK legislation;
• Keep up to date with new UK rules and regulations at all times
• Liaise with Head Office Compliance
• Act as the primary point of contact with the FCA and PRA;
• Promote a robust and professional Compliance culture in the Branch
• Develop, review and administer the Branch’s Compliance Manual and Complaints Manual
• Oversee the logging and investigation of potential/actual breaches, conflicts of interest, and gifts and entertainment;
• Manage non-financial crime related audits and other reviews;
• Responsible for SMCR regime and responsibilities
• Draft and implement an annual work plan covering all compliance and (in liaison with the MLRO) financial crime issues, including monitoring work and training;
• Develop and execute an annual Compliance Monitoring Programme for the Branch, and report the results of this to senior management;
• Oversee regular compliance monitoring activity and other investigations
• Plan, organise, and control the Bank’s day-to-day compliance activities;
• Prepare a quarterly report to senior management and Head Office advising on emerging regulatory issues
• Provide training, support and advice to staff on regulatory matters;
• Oversee the Branch’s complaints procedure, and ensure that complaints are handled fairly;
• Review external documents
• Play a leading role in developing and overseeing the Branch’s compliance with data protection and confidentiality requirements;
• Oversee the preparation and submission of accurate regulatory reports

• Corporate banking experience, previous experience of working within a Branch desirable
• Current / Previous SMF
  16 experience
• Familiar with senior level stakeholder management
• Strong attention to detail
• Excellent communication skills
• Ideally people management experience

For further information please contact Natalie Eshelby