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Compliance Advisory and Services Support Officer

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Join us as a Compliance Advisory and Services Support Officer

  • Well look to you to own and develop appropriate risk and control frameworks for the franchises and functions to use to discharge their responsibilities
  • Youll be independently overseeing and challenging the effective management of risks and controls within agreed risk appetite
  • This is an opportunity to gain exposure as you maintain positive and effective working relationships with senior management, risk teams and external bodies
What youll doAs a Compliance and Advisory Services Support Officer, youll be accountable for all compliance responsibilities related to the development, maintenance and periodic re-assessment of the policy and conduct frameworks and supporting other jurisdictions in whichthe division operates. Youll be providing pragmatic, commercial solutions to advisory, conduct and regulatory issues by working with the business in such a way as to gain their trust, confidence and respect. Youll also be:
  • Ensuring a clear articulation and understanding of roles and responsibilities between first and second lines of defence
  • Providing conduct and regulatory expertise, often in a leadership capacity, to the divisional interpretation of the policy framework to make sure the bank meets or exceeds regulatory requirements
  • Promoting early engagement with the appropriate teams where any change in risk policy or activity may be required so as to align this as far as possible to our standards and business strategy
  • Making sure that all processes and procedures adopted reflect the research and interpretation of regulatory bodies rules and guidance, and industry best practice
  • Delivering successful outcome of reviews by external parties such as regulators, external auditors and internal audit
The skills youll needTo succeed in this role, youll need d etailed knowledge of local regulation, legislation and codes of practice relevant to appropriate licenses held and the ability to interpret these to support policy and procedure development. Youll also need experienceof interaction with regulators, and hosting regulatory on site visits, along with extensive knowledge of trustee and depositary services gained from operating within a compliance function. In addition, youll hold a relevant risk, governance and compliance qualification such as an ICA Graduate Diploma. And youll need knowledge of the banking sector, covering retail, business, large corporate, trust funds and depository customer segments, aswell as the ability to source and assess multiple data and information points to help make risk based decisions and solutions. Youll also demonstrate:
  • The ability to work with colleagues at all levels, with good listening and questioning skills, influencing, leading and facilitating dialogue
  • Experience of report writing at all levels, including executive and board and the ability to verbally deliver and discuss the content
  • Experience of working within the financial services industry
  • An understanding of offshore regulatory requirements, including their practical application
  • Previous involvement in project implementation and representation on relevant work streams

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