Salary:

£60,000.00 - £80,000.00 / annum

Location:

City of London

Date posted:

16th September 2019

Employment type:

Permanent

Job reference:

06030-0011167844

Staffing area:

Financial Services


Description

Main Responsibilities:

  • Deputise for the Head of Compliance.
  • Support the Head of Compliance with the development and management of the Compliance Manual.
  • Familiarity with Compliance Monitoring Plans.
  • Familiarity with SMCR.
  • Lead the review, creation and implementation of new policies and procedures.
  • Provide compliance advisory services with the help of the Head of Compliance.
  • Monitor the regulatory environment, horizon scanning for new FCA requirements and help the business to understand them.
  • Support the Head of Compliance in relation to regulatory returns on Gabriel and Connect and other regulatory updates.
  • Support training initiatives for the Compliance Department and other business area.
  • Support the sign off on financial promotions.
  • Provide critical support and technical expertise to robustly manage all compliance risks across the business.
  • Act as a source of professional and technical expertise in order to evaluate, review, investigate, challenge and mitigate the potential for customer and regulatory risk.
  • Monitor regulatory developments and react to those that may impact on the firm.


Requirements

  • Minimum 4 years' experience in banking compliance and/or legal
  • Strong knowledge of the FCA regulations, in particular SYSC, MIFID, SMCR, Conduct Rules, CASS and COBS.
  • Excellent written and verbal communication.
  • Regulatory compliance and familiarity with compliance monitoring skills.
  • Ability to influence at all levels; good judgement and decision making.
  • Commercially aware and able to apply a risk-based approach.
  • Coaching and training skills.
  • Excellent knowledge of FCA Rules.
  • Experience in a compliance role within retail, trade finance and commercial banking.

The salary range/rates of pay is dependent upon your experience, qualifications or training.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Where rates of pay or salary ranges are detailed these are dependent upon your experience, qualifications or training. If you wish to apply for this position please read our Privacy Notice which details how we may use, process, store and disclose your Personal Information: https://www.roberthalf.co.uk/privacy-notice.



London

10th Floor, The Shard
32 London Bridge Street
London
SE1 9SG
gb
0207 389 6900
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