Head of Compliance- SMF16 Exclusive

Overview

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

Responsibilities

• 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

Experience Required

• Corporate banking experience, previous experience of working within a Branch desirable


• Current / Previous SMF16 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