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THE COMPANY:

Our client is a full service bank providing retail, private and corporate services as well as investment banking services in the UK and Europe. They offer a wide range of products and financial services to corporate and retail customers in the areas of investment banking, Retail and Private Banking.

THE RESPONSIBILITIES:

• Work closely with the Head of Compliance to co-ordinate various compliance issues as to ensure that the businesses operate in accordance with the Bank's policies and procedures, and local regulatory requirements
• Develop and implement relevant and appropriate monitoring activity in the businesses
• To respond promptly to information requests from the FSA, Lending Standards Board, other regulatory authorities and Senior Management
• To help provide guidance to businesses on procedures and processes necessary to ensure, and demonstrate, compliance with the Bank's policies
• Help ensure that businesses have adequate controls, procedures, systems, training and other arrangements (preventative and detective) to enable them to deal appropriately, and on a timely basis, with applicable requirements on compliance
• Support the development of compliant, flexible and robust systems, procedures and controls within the businesses to meet compliance objectives and improve the businesses' performance in these areas
• To manage the Compliance department in the absence of the Head of Compliance
• To facilitate effective and constructive sharing of knowledge and experience of compliance issues and to effectively engage with other parts of the firm'sGroup
• Ensure that relevant and reliable management information on these compliance issues is delivered to senior management on a timely basis in order to enable effective action to be taken where necessary.

EXPERIENCE REQUIRED:

• Wide-ranging compliance experience in a retail or private/investment banking financial services environment.
• Good understanding of current and anticipated UK requirements and supervisory expectations
• Educated to Graduate level or relevant industry qualifications

For further information, please contact Hannah Tabatabai

COMPL 3741

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