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My London based Banking client is looking to recruit a permanent Advisory Compliance Manager to sit in their Global Transactions department.
I am looking for a Compliance Officer with around 3 years general Advisory experience in banking.
Job Description
· To promote effective compliance with relevant legislation and regulation.
· The role supports the Senior Risk Manager for Global Payments, Global Commercial
Cards and GTMS acting as the principal Regulatory Risk contact for the Global
Payments, Global Commercial Cards and GTMS businesses
· The role supports the GTS Risk Management and framework and provides positive assurance to Divisional Senior Management that Regulatory risks across the GTS businesses are appropriately identified,
assessed, mitigated, monitored and reported by the business unit in conformance with Group and GTS
policies, processes, programmes and requirements.
· To act act as the leading Regulatory Risk contact in supporting the Global Payments, Global Commercial Cards and GTMS businesses in (Regulatory) Risk identification, monitoring and resolution and providing
Compliance advice & guidance.
· The role seeks to continue to present GTS Risk as an active partner to the business in business strategy
and risk management.
Requirements
· To set standards and policies and promote best practice
· To provide a central point of expertise for Regulatory Risk staff and the GTS Business
· To lead the co-ordination and delivery of allocated Regulatory Risk activities with the GTS Business, Group and
other subject matter experts, as applicable
· Provides commentary and decision making to the GTS businesses and Risk colleagues on all applicable
regulatory issues.
· Monitors business practices, products and services to ensure compliance with existing and GTS Divisional Regulatory Risk policies and external legislative and regulatory requirements.
· Provides advice and guidance to the businesses and Risk colleagues on areas for focus and enhancement across multiple products, businesses and geographic regions.
· Reports key areas of exposure to appropriate stakeholders within Risk and the businesses, identifies solutions and agrees mitigating strategies/actions, ensuring ongoing compliance and minimal regulatory exposure.
· Manages the preparation, co-ordination and objectives of scheduled as well as ad-hoc regulatory requests/investigations and provides input to Senior Manager in preparation for meetings with regulators.
· Educates and raises awareness of assigned business areas' employees on relevant regulatory risk management concepts and requirements through tailored processes and via groupwide training tools such as the Risk Academy.
· To assist in the ongoing management of Regulatory Relationships and act as the regulatory escalation point for all supported businesses.
· Contribute to the development, communication and delivery of the Regulatory Risk Management Framework, Compliance Charter and Annual Compliance Plan.
The Individual
Analytical
Reviews consolidated management information reporting to monitor and analyse the aggregated risk associated with processes within assigned areas.
Analyses output from assurance activities and ad hoc reviews to determine trends, issues and any applicable mitigating actions.
Problem Identification and Solving Skills
Determines urgency and severity of issues, and works with the businesses and the appropriate subject matter experts to ensure appropriate resolution.
Project Management Skills
Participates in business and risk project teams as a subject matter expert and/or team leader.
Is responsible for using established project management methods, where necessary.
Negotiation and influencing Skills
Collaborates with, and gains agreement from key stakeholders to execute specific plans against agreed goals and outcomes.
Identifies common goals and interests across all stakeholder groups to develop multiple options supporting Regulatory Risk requirements.
Interpersonal Abilities
Presents a business-friendly image to all internal and external stakeholders.
Consistently considers stakeholders' needs and strives to find workable solutions.
Builds strong relationships with key stakeholders and works in partnership with them.
Communication
Communicates complex concepts in user-friendly manner, giving thought to the best way in which the key messages should be conveyed.
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