SENIOR COMPLIANCE MANAGER - FCA/PRA TECHNICAL EXPERTISE/ADVISORY
EXCELLENT KNOWLEDGE OF COMPLAINCE - WHOLESALE/RETAIL & INTERNATIONAL BANKING
Perform day-to-day reviews determined by the Compliance Monitoring Plan, produce clear and timely reports highlighting areas of improvement, and track all actions raised.
Strong understanding of MiFIDII, EMIR, and FCA and PRA handbooks applicable to the Bank.
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.
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.
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.
Management and ongoing support to the business (including liaison with external suppliers) for new / recently implemented regulatory compliance projects.
This includes - Post-Brexit UK regulatory changes, Conduct/SMCR, MiFIDII / EMIR regulatory processes, periodic transaction reporting look back reviews, Market Abuse Surveillance, Deposit Protection / SCV file enhancements, Payments (PSD2).
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