Compliance Manager
Fantastic 6 month Fixed Term Contract Role- Extension to longer term role possible
Retail Banking IFA network compliance experience preferred
Key Duties
Provide advice, guidance and support on regulatory issues as required.Establish a good working relationship with the local Risk team.
Preparation of reports and MI for the Head of Banking Compliance.
Ensure that the firm has appropriate compliance policies and procedures.
Ensure that the process for classifying, investigating and reporting complaints complies with regulatory requirements
Review financial promotions as required.Work with the training department to ensure appropriate training on regulatory requirements is provided to all members of staff.
Provide comfort that process and procedures are working by carrying out ad hoc checks.
To ensure that adequate records are kept for regulatory and internal purposes (e.g. Financial promotions, any published recommendations, Rule Breaches, Gifts, Personal dealing, Regulatory and business scope).
Under direction from the Head of Compliance, prepare any annual risk review assessments. Ensure that escalated financial crime risks are checked and marked appropriately.
Working with the MLRO of the Bank and the Bank General Counsel, ensure that any court orders and recorded and acted upon correctly and that relevant individuals within the local team are aware, via care codes, of any restrictions which they impose.
Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the TC's, Privacy Policy and Disclaimers which can be found at hays.co.uk
Leave a Reply
You must be logged in to post a comment.