5 months ago
- Development, control and implementation of the Compliance Monitoring Plan inclusive of all testing and record keeping.
- Themed reviews of core company processes; for example, Financial Crime Prevention, Data Protection (GDPR), Conduct Risk, SM&CR and Vulnerable Customers.
- Review and update of company policies for regulatory and internal alignment.
- Produce monthly reporting and commentary on the progress of compliance monitoring.
- Maintain records of all regulatory events and decisions taken ensuring compliance with all regulatory reporting requirements, liaising closely with regulators.
- Build internal business relationships to partner on projects providing compliance oversight and advice.
- Support implementation and provide assurance of appropriate staff compliance training.
- Detailed understanding of FCA Handbook, MLR, PSDII, GDPR, SM&CR and Conduct Rules.
- Experience in regulatory reporting and experience communicating with the regulator.
- Compliance advisory & monitoring experience in an FCA regulated environment, preferably retail bank or EMI.
- Confidence and proven ability to communicate at senior level.
- Show excellent understanding and interpretation of emerging compliance issues.
- Writing policies and procedure manuals and overseeing their implementation.
- Awareness and understanding of wider business, economic and regulatory environment.