Deputy Head of Regulatory Compliance

Salary

£90,000 - £110,000

Location

London

Job Type

Contract

Sector

Compliance

Job Reference

CERDHRC


Job Description

Responsibilities:

  • Provide regulatory advice in relation to internal compliance and external regulatory requirements.
  • Support the development and execution of an approved annual Compliance Plan.
  • Perform compliance related risk assessments such as Conduct Risk Assessments.
  • Prepare and deliver Compliance training, such as employee induction, refresher training on regulatory topics, and focused training for example MiFIDII-Treasury Sales Products.
  • Preparation of the annual Compliance Monitoring Plan, overseeing the effective execution of the CMP and planning the future needs of the department as well as performance management and coaching/mentoring.
  • Support the Head of Compliance in promoting a culture of Compliance that is centred on awareness and understanding of Compliance risks and responsibilities.
  • Support the Head of Compliance with managing relations with senior management and regulatory authorities; PRA and FCA.

Knowledge, Education and Experience:

  • Thorough knowledge of regulatory compliance, including COBS, SYSC, CASS, MiFID and EMIR.
  • Knowledge of financial crime legislation and sanctions regimes.
  • Understanding of compliance and financial crime requirements.
  • Educated to degree level or relevant qualifications.
  • Proven record and experience as a senior Compliance Manager.
  • Experience within a trade finance bank is desirable.

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