THE COMPANY:
Our client is a global wholesale banking business based in London. With an international reach, they are a truly first class employer.
THE RESPONSIBILITIES:
- Promoting a compliance culture, championing compliance and providing compliance thought leadership.
- Leadership and management of the Compliance team.
- Planning and implementing the UK compliance strategy, including embedding best practices.
- Support and advisory services to lines of business and corporate support areas, including but not limited to, on business as usual queries, new business initiatives and regulations.
- Liaising with the FCA and PRA.
- Liaising with relevant financial services trade bodies and similar bodies, banks, and financial institutions with similar ethos and outlook, ensuring visibility for the bank and networking opportunities.
- Liaising with relevant external stakeholders (for example, legal counsel, consultants and vendors).
- Oversight of the Compliance team in the maintenance of compliance policies.
- Oversight of the compliance training programme, including implementation of the yearly training plan, identification of relevant training courses and the face to face delivery of certain training courses.
- Oversight of the Compliance monitoring and surveillance programme.
- Oversight of the review and implementation of the conduct risk framework.
- Oversight of assessing and implementing relevant regulations and regulatory outputs (for example, speeches, good and poor practices, thematic reports, surveys, reports).
- Responsibility for the insider dealing and market abuse aspects of financial crime (excluding fraud, bribery and corruption, anti-money laundering, terrorist financing and sanctions).
- Responsibility for complaints handling.
- Responsible for compliance reporting to senior management and relevant board(s).
- Responsibility for conduct rules training of Capital Markets London staff.
EXPERIENCE REQUIRED:
- Minimum of 10 years’ experience in compliance in the international banking and the wholesale financial markets
- Experience and strong knowledge of UK regulations
- Good knowledge and experience of dealing with the regulators
- Strong leadership skills
- Ability to translate strategic priorities and adopt a proactive approach to the compliance mission and take a balanced view
- Experience of establishing, reforming and managing teams
- A logical and practical approach to work
- Strong attention to detail and the ability meet deadlines with minimal supervision
For further information please contact Hannah Tabatabai
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