A leading global financial institution is seeking an experienced compliance professional to join its Compliance Service Unit and Senior Managers and Certification Regimes (SMC) advisory team. The ideal candidate will play a crucial role in defining, implementing, and overseeing compliance risk frameworks, as well as supporting the Senior Managers & Certification Regimes (SMCR) within the organisation.
Key responsibilities:
- Regulatory compliance: Handle regulatory communications with relevant authorities (FCA). Manage regulatory approvals and certification requirements for staff performing regulated activities or significant harm functions.
- Advisory & support: Raise awareness of compliance risks and strengthen the compliance culture across the organisation & analyse compliance risks to monitor any issues that may harm the organisation's reputation and activities. Raise awareness of compliance risks related to SMCR by designing and delivering relevant training programs.
- Strong knowledge: Strong knowledge of Senior Managers & Certification Regimes related to legal & regulatory expectations.
- Policy implementation: Define & implement the organisations framework to ensure consistent monitoring of its implementation & develop procedures to mitigate & manage compliance risks.
- Compliance Oversight: Conduct second-level control and supervision of the compliance risk management framework, including assessing compliance within entities/activities that significantly impact the organisation's risk profile.
- Training & support: Provide advice, training, and support on the implementation of the Senior Managers and Certification Regimes (SMCR) and its evolution in response to regulatory changes.
- Relationship management: Manage relations with supervisory and regulatory authorities and represent the organisation to these authorities & advise internal stakeholders, including HR and Business Units, on SMCR-related matters and ensure compliance with the regime's requirements.
Profile requirements:
- Strong Compliance Knowledge: Of UK Senior Managers & Certification Regimes (SMCR) and related legal, regulatory, and industry expectations.
- Communication: Strong interpersonal & communication skills, as responsible for regulatory communications with the FCA.
- Organisational skills: Strong organisational skills with the ability to manage multiple tasks and priorities effectively.
- Efficient: High attention to detail, ability to handle confidential information with precision & work well under pressure against deadlines.
- Experience: 5 years experience of regulatory & compliance with in banking institutions.
This role requires a deep understanding of regulatory frameworks, strong communication skills, and the ability to manage complex compliance processes.
If interested, or want to find out more, please send over your updated CV!
