Regulatory compliance Officer

Regulatory compliance Associate

• Full time/ Permanent
• Bank - City of London
• 3 days per week in office
• Paying up to £45,000?

?Day to Day

• Maintain a culture of compliance and ethical behaviour
• Proactive management of performance and targets
• Development of appropriate control and reporting structures, including that of segregation and resiliance
• Open and timely escalation and reporting of risk and control issues
• compliance with human resource policies and procedures, including appraisal obligations
• Compliance with compliance policies and procedures, including that of conduct rules and related obligtaions
• Maintain of staff morale and productivity
• Timely management of customer queries and regulatory and audit requests
• Maintain a professional approach to all aspects of work including that of relationships with coleagues and internal / external stakeholders

key responsibilities

Advisory and Policy Execution

• Assist with the building, design and update of regulatory compliance policies and procedures to minimise regulatory risk.
• Support business relationships through positive engagement and the proactive identification of regulatory risk and work with management and staff to establish and maintain effective and efficient systems and controls.
• Undertake horizon scanning of compliance regulation and regulatory change, including preparation of gap/impact analysis.
• Advise staff on matters of regulatory compliance, including issues of best practice and intended outcomes.

Monitoring and Risk Management

• Develop and implement compliance monitoring activity to test the efficiency and effectiveness of the regulatory compliance framework and Bank adherence to regulatory requirements.
• Support development and timely provision of internal/external regulatory reports and related MI.
• Undertake compliance risk assessments for new products and system developments.
• Support the delivery of regulatory training, including maintaining training records and attestations.
• Support internal/external compliance audit activity and remedial efforts.