Working with us

Working with colleagues from across all lines of defence, this role delivers effective compliance oversight that meets relevant internal and regulatory expectations. The role also provides assurance that regulatory obligations are being met through effective compliance oversight and 2^nd line regulatory risk and control testing.

MAIN RESPONSIBILITIES / KEY DUTIES

Compliance Monitoring

• Assume ownership for the preparation, management and delivery of the Single Oversight Plan covering all lines of defence.
• Maintain up to date awareness of compliance monitoring methodologies and industry best practices.
• Maintain up to date awareness of regulatory obligations, guidance, and relevant industry codes/practices.
• Maintain and continue to develop the H&C Risk Universe.
• Responsible for ensuring the Regulatory Compliance Framework and Methodology remains fit for purpose and is regularly reviewed.
• Responsible for delivery of 2nd line monitoring and oversight activity in line with the Single Oversight Plan.
• Conduct effective and rigorous oversight and monitoring in line with the Regulatory Compliance Framework and Methodology.
• Responsible for regular reporting of outcomes, plan progress, issues and actions to business stakeholders and committees as required by the Head of Compliance.

Advice & Training

• Support colleagues across the business to interpret regulatory rules, guidance, and best practice to ensure the Bank remains compliant and clients receive a level of treatment in line with the Bank’s values and regulatory obligations.
• Advise colleagues on appropriate remedial action required if obligations have been breached.
• As SME, support business stakeholders to address gaps identified via oversight activity to ensure the business remains compliant.
• Provide 2nd line compliance expertise on projects as required.

Help embed a strong risk and compliance culture and work collaboratively with the business

• Deliver a professional, high quality and efficient Compliance oversight service to the business.
• Build and maintain constructive and effective relationships across the business in line with the Bank’s positive compliance culture and behaviours, all the time maintaining appropriate independence and objectivity.
• Provide effective challenge and support to the 1st line business areas.
• Proactively identify and work with colleagues to design and embed more efficient ways to meet regulatory requirements that deliver good client outcomes and minimise the risk of harm.

REQUIRED QUALIFCATIONS, KNOWLEDGE, & SKILLS

• Compliance professional with relevant financial services experience (5+ years) and deep knowledge of the UK regulatory environment.
• CeMAP Qualified (or prepared to complete).
• Knowledge of the banking industry, specifically private banking, would be advantageous.
• Detailed practical experience of conducting several types of compliance monitoring activity, end to end, delivered with sound commercial judgement.
• Confident in interpreting and assessing legal and regulatory obligations.
• A demonstrable record of achievement and ability to improve client outcomes in a regulatory compliant manner.
• Strong analytical and interpretation skills.
• Resilient under pressure, an independent mind and ability to constructively challenge calmly and effectively.
• Flexibility and good at offering solutions.
• Ability to communicate matters clearly and assertively to influence senior stakeholders.
• Excellent organisational and time management skills.
• Attention to detail.
• Self-motivated who can demonstrate a collaborative approach to working with colleagues across the business.