Regulatory Change and Compliance Programme Management

  • 90k
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Holmes Search
  • 16 Aug 18 2018-08-16

Under the oversight of the Director, Compliance and Regulatory Change ensure that a) regulatory developments are identified, assessed for risk and impact and appropriately communicated internally and b) the Compliance Programme is continually enhanced in order to provide efficient and effective management of Regulatory Risk Ideally you will have previous experience working at an Investment bank

Accountabilities

 

  • Leads and drives a customer focused culture throughout the team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

 

  • Manages and co-ordinates the regulatory compliance management program and regulatory change processes, undertaking horizon scanning, risk and impact assessments as appropriate, ensuring updates are made to the regulatory compliance management system, partnering with the Regulatory Initiatives Group, the Compliance Advisory function, and First Line of Defence (Operational Risk Oversight and business management) to ensure that forthcoming regulatory change is properly identified and that the First Line of Defence has the information necessary to respond appropriately.

 

  • Provide reporting and training on regulatory developments as appropriate and agreed with the Director, Compliance and Regulatory Change.

 

  • Support the Director, Compliance and Regulatory Change in identifying improvements to the Compliance Programme and where required act as Project Manager or monitor related Compliance initiatives, whether or not these stem from regulatory change, as agreed with the Director, Compliance and Regulatory Change.

 

  • Support the Director, Compliance and Regulatory Change, where required, in managing and coordinating the maintenance of compliance policies and procedures, training processes, management reporting and tracking of issues.

 

  • Provide support and cover, as required, to Central Compliance in business as usual tasks.

 

  • Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.

 

  • Manage relationships with key stakeholders to create an environment in which effective and efficient operations  are established, which help ensure the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, and the Code of Conduct.