Senior Compliance Officer – Regulatory Compliance

An international commercial bank is looking to hire a Senior Compliance Officer to join the Compliance team at its London branch. This is a regulatory-focused role, taking a lead on the branch’s FCA and PRA obligations, compliance monitoring and regulatory change, alongside oversight of financial crime controls. The role reports directly to the Head of Compliance and MLRO and deputises for them in their absence.

The role is based in the London office 5 days a week

Job Requirements

1. Deputise for the Head of Compliance and MLRO, covering their full responsibilities during periods of absence, including acting as a point of contact for the FCA and PRA
2. Undertake regulatory horizon scanning, assessing the impact of new and changing FCA and PRA requirements on the branch and driving the implementation of regulatory change across the business
3. Develop and deliver an effective, risk-based Compliance Monitoring Programme, carrying out thematic reviews, reporting findings to senior management and tracking remediation through to closure
4. Provide practical regulatory advice to the front office and support functions, including on new products, lending transactions and changes to the branch’s activities
5. Identify, investigate and record regulatory breaches, assessing whether they are notifiable and escalating to senior management and the regulators where required
6. Strong UK regulatory compliance experience gained within a UK bank or the UK branch of an overseas bank, with in-depth knowledge of the FCA Handbook, PRA Rulebook and the regulatory framework for third-country branches
7. Proven track record of designing and delivering compliance monitoring reviews and managing regulatory change projects
8. Experience of dealing directly with the FCA and/or PRA, with the credibility to engage confidently with regulators and senior management
9. Good understanding of corporate and syndicated lending and the regulatory and financial crime risks associated with lending business

Unless otherwise stated, candidates must have the right to work in the UK.

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