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Compliance Officer

Triodos Bank UK
Job LocationBristol
EducationNot Mentioned
Salary£38,000 - £40,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypeTemporary, full-time

Job Description

Compliance Monitoring Officer (12-month FTC) - BristolTriodos Bank is one of Europe’s leading sustainable banks, whose mission is to make money work for positive social, environmental, and cultural change. This is an exciting time for the right professional with a strong commitment to our mission to join a growing and successful bank. We are pleased to be recruiting for a Compliance Officer to join us on an initial 12-month FTC!Reporting to the Senior Legal and Compliance Manager, you will be responsible for providing second line of defence (2LoD) advice and guidance in relation to regulatory risk exposure and TBUK compliance with relevant legislation and regulatory requirements. This includes overseeing and delivering elements of the TBUK Compliance monitoring programme.Responsibilities

  • Leading TBUK Compliance monitoring reviews across all areas of TBUK, using the local Compliance risk universe to establish areas of risk
  • Scheduling, developing, and maintaining the UK Compliance monitoring plan, using a risk-based approach within the Triodos Group risk appetite with a proactive approach to seeking improvements in business activity to mitigate the regulatory risk
  • Confidently and diplomatically determining, in partnership with the business units, clear and timely action plans to mitigate compliance risk identified to be outside of the Triodos risk appetite during Compliance oversight and monitoring activities
  • Delivering proactive and commercial judgement within monitoring, anticipating risks and, where appropriate, challenging the business in a confident and diplomatic manner so that clear solutions are achieved
  • Where applicable, monitoring through to completion, action plans generated from UK Compliance reviews
  • Representing UK Compliance as the primary contact for Compliance technical expertise at applicable internal meetings, including project meetings
  • Providing support to local functions on Compliance themes and issues, whilst having the strength of character and tenacity to follow up any concerns and challenge where appropriate, to deliver accurate and effective mitigation of compliance risk
  • Developing and maintaining compliance policies with focus on those impacted through monitoring reviews
  • Producing required reports and action plans including those for Group Compliance and, where required, periodic reports for the UK Audit and Compliance Committee.
  • Performing analysis of relevant legislative and regulatory change to provide clear, timely guidance to the business, including in the form of Triodos Regulatory Notes (TRNs), communicating likely impact, and identifying required actions
  • Supports the Senior Legal and Compliance Manager by maintaining oversight of the operational effectiveness of TBUK systems and controls designed to achieve compliance with UK regulatory requirements, including CASS and data protection
  • Assists in preparing a report to the Board of Directors in respect of effectiveness of these systems and controls. Assists in preparing regulatory notices to the FCA in relation to CASS, as part of TBUK’s statutory reporting requirements
  • Comply with all regulatory obligations and internal governance to help ensure ethical behaviour which delivers fair outcomes for TBUK customers
    • Triodos Bank is proud of its culture, ethos, and ability to make a positive change in society. It is important that candidates evidence a strong commitment to Triodos Bank’s core values of ethical sustainability and transparency, as well as the personal qualities to live these values.To be successful in the role, you will have a solid track record of experience in a compliance related role within financial services with experience of compliance monitoring, ideally relating to banking, savings and investment products, and also with project management principles. A strategic and working knowledge of the UK financial sector regulators and UK/European regulations including the Financial Conduct Authority (FCA), anti-money laundering (AML), data protection, and other compliance matters including Client Assets (CASS) and MiFID. A compliance qualification is highly desirable.In return for your commitment and hard work, you will be rewarded with a salary of up to £40,000 (depending on experience). We believe people should be properly and appropriately paid for their work but that there should also be a fair distribution of the value the bank generates, which is why we do not have performance related pay or bonuses. Instead, we have an extensive benefits package where most of our benefits are non-contributory. Our benefits include:
  • Non-contributory pension scheme from your first day of 8% in year 1 and 10% from year 2 onwards
  • Life Assurance (worth 4 times basic pay)
  • Income Protection - 75% of basic pay after 13 weeks sick and following six months service
  • Private Medical Insurance
  • A Health Cash Plan
  • Vitality Leave - After each 7 years of service, you will be able to take a sabbatical of up 3 months
  • 25 days (FTE) plus bank holidays per annum with additional increase in holiday though length of service (up to 5 days FTE)
  • A buy and sell holiday scheme of up to 5 days (FTE) to maximum of 30 days
  • Season Ticket Loan available for commuting into the office
  • A wellbeing allowance of £100 a year
  • Voluntary benefits, including discounts and cycle to work scheme
    • Required skills
  • Compliance Monitoring
  • Regulatory Requirements
  • CASS

    • Keyskills :
    Compliance Moniting Regulaty Requirements CASS

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