• Assist the Head of Compliance & Legal in the planning and prioritisation of compliance work.

• Prepare / oversee and submit the non-financial returns.

• Liaise with the Bank's internal auditor in undertaking compliance duties where necessary.

• Liaise with Regulators and other appropriate 3^rd parties under the direction of the Head of Compliance & Legal.

• Assist in all other tasks, periodic, ad hoc, or otherwise, as directed by Line Manager.

• Refer issues to Line Manager as required. Review the Bank's operating procedures, both manuals & actual processes, and review management information from a compliance perspective.

• Recommend improvements where appropriate and ensure that compliance manuals are kept up-to-date in the light of developing legislation;

• Perform gap assessments and work with the business to close out the gaps from these regulations.

• Monitor the performance and coverage of the compliance plan and make recommendations for adjustments / improvements to the Head of Compliance & Legal.

• Review and update Compliance and other relevant policies and procedures within the organisation.

• To meet objectives and deliver appropriate advice / reports / recommendations within agreed timescales.

Compliance Advisory

• Ongoing advisory / response to queries from business units on the applicable of existing compliance policies, potential transactions / products and / or changes to processes to ensure compliance with existing regulations, includes queries from Treasury, Corporate & Institutional Banking, Global Loan Syndications & Debt Markets and Operations / Client Services departments;

• Develop and maintain strong relationships with other departments and provide appropriate advice on compliance issues. Refer issues to your Line Manager as required.

Horizon Scanning

• Identification, interpretation and assessment of forthcoming regulatory developments that may impact the Bank. This covers the regular review of regulatory bulletins, publications and policy announcements; from the UK / European Regulators and various industry trade bodies.

Regulatory Change

• Management and ongoing support to the business (including liaison with external suppliers) for new / recently implemented regulatory compliance projects. This includes: MiFIDII / EMIR regulatory processes, periodic transaction reporting look back reviews, Market Abuse Surveillance, Deposit Protection / SCV file enhancements, Payments (PSD2).

Legal

• Maintain the Bank's legal risk framework, including existing policies and procedures;

• Provide support in overseeing the sourcing of external legal advice when necessary;

• Perform annual reviews of the Bank's Legal Panel;

• Prepare quarterly legal risk management reports to various stakeholders such as Head Office, Board committees;

• Managing the Bank's litigation portfolio using external lawyers.

Skills Required:

As the successful candidate you will: -

• Be strategically minded, with the ability to think and react quickly to change, negotiate through ambiguity whilst remaining committed to delivery.

• Need to be prepared to work in a challenging environment and be comfortable communicating with people of all levels and experience.

• Be self-motivated, approachable, able to absorb technical information and eager to both learn and coach.

• Possess excellent time management and prioritisation skills.

• Be able to balance well the guardianship and client service responsibilities and have a strong appreciation of franchise risk.

• Demonstrate up to date knowledge of the PRA / FCA requirements, relevant policy developments, awareness of global regulatory developments, and have an appreciation for the approach of other regulators.

Skills Desired:

• Experience of working in a Compliance Department, at a regulator or in a Regulatory Control Department / similar function of a financial institution.

• Compliance issues in wholesale, retail and international banking.