Compliance SMCR Specialist
- London, England, United Kingdom London England GB
- Permanent, Full time
- Michael Page Financial Services
- 13 Mar 18 2018-03-13
The Compliance SMCR Specialist will join the Certification Regime Team who are responsible for ensuring systems and control arrangements in respect to the Certification Regime and MiFID II. Knowledge and Competence of both SMCR and MiFID II is essential to meet regulatory requirements.
A financial services Corporate Bank is looking to add a Compliance SMCR Specialist to their London team.
The financial services Compliance SMCR Specialist will be responsible for:
- assisting the Head of Certification Regime in liaising with departments and relevant employees to arrange completion of Fitness and Propriety assessments for Certification Employees / Knowledge and Competence assessments for MiFID II relevant staff, and ensuring all assessment results are correctly documented;
- training and communicating with Certification Employees to further enhance the Bank's and individuals' compliance with the regime;
- development and updating relevant policies and procedures on Certification Regime; and assisting in further development of the systems in relation to SMCR and MiFID II Knowledge and Competence requirements
The successful candidate may be required to deputise for the Head of Certification Regime as required:
- reviewing assessment and signing off assessment results compiled by Certification Regime Assistants;
- producing regular reporting to management in respect of the Certification Regime and MiFID II Knowledge and Competency requirements;
- leading ad-hoc projects;
- Working closely with the business and providing guidance in relation to SMCR and MiFID II Knowledge and Competence requirements.
The successful financial services - Compliance SMCR Specialist will have:
- Working knowledge of the Senior Managers and Certification Regime regulations
- Strong banking compliance and regulations knowledge
- Previous working knowledge in a compliance or HR dealing with Senior Managers and Certification Regime is essential
- Bachelor degree
- UK Compliance or regulation qualification is desirable
- Based in London
Based in London