AVP, Compliance
MAIN DUTIES/KEY RESPONSIBILITIES:
- Manage and conduct the ongoing bank-wide Compliance Monitoring Programme through planning, preparation and completion of assessments;
- Perform the KYC/AML screening checks on all new and current clients, along with MiFID classification and documentation; this includes past business reviews;
- Able to manage and challenge senior stakeholders to achieve the required quality outcomes, and escalate to Head of Compliance/MLRO as appropriate;
- Able to conduct detailed investigations into higher risk client backgrounds and validate results;
- Able to come up with solutions and recommendations to Head of Compliance on any day-to-day issues arising;
- Perform ongoing AML/SAR monitoring of client activities and assist MLRO in any SOCA submissions;
- Take responsibility of assigning agreed online compliance training and follow up exceptions;
- Assist Head of Compliance with any FCA/PRA and internal audit queries;
- Review and approve financial promotions;
- Annual review and updates to all Compliance policies and procedures;
- Dealing with other compliance matters as they arise in day to day operations;
- Assist Head of Compliance Operational Risk on project work and all ad hoc tasks;
- Interact at all levels including effective cooperation across Front Office and Executive teams.
BACKGROUND/EXPERIENCE:
Degree educated with at least 3 years Banking Compliance experience. Compliance qualifications would be beneficial.
KNOWLEDGE SKILLS:
Required knowledge skills:
- Excellent working knowledge of KYC/AML/CTF processes including documentation and screening;
- Excellent knowledge of PEP onboarding requirements;
- Excellent understanding of MiFID, COBS, SYSC, FATF, Anti-Bribery Corruption requirements etc.;
- Methodical, measured and thoughtful approach to work.
Beneficial knowledge skills:
- Experience of GCC clients;
- Knowledge of FATCA requirements;
- A wider knowledge of banking and real estate transactions;
- Arabic language skills of benefit.
Personal Skills:
- Excellent communication and interpersonal skills;
- Ability to build good working relationships with colleagues at all levels.
To apply please send CV via email entitled "AVP, Compliance" to apply@gatehousebank.com
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