Partner with the business to maintain Compliance Plans for the Branch and local business units to ensure that the Branch and those business units comply with local laws and regulation and Bank's internal policies
Update Management on regulatory change
Advise Business on compliance conformance for any existing and new business and any compliance issues
Work with the business to resolve any assurance or audit issues of the Branch
Provide periodic reporting to Management and Compliance Governance bodies
Assist with the production and submission of relevant regulatory reports & applications for the Branch and subsidiary in conjunction with the UK Head of Compliance and Chief Operating Officer Assist with development of policies and procedures for the Branch
Act as point person for Compliance-related projects
Coordinate and assist the business in responding to regulators, internal and external assurance/audit reviews
Perform second line monitoring checks for the relevant regulatory controls, execute, investigate & remediate exceptions & update the London Compliance Monitoring Programme as appropriate.
Assist in the coordination and provision of assessment & sign-off for certain governance processes including employee compliance management under the Senior Managers & Certification Policy and Procedures, FCA/PRA regulatory fees levy management, New Products per New Products, Services & Markets Policy & Procedures , Compliance Breach Reports and Action Plans.
Support the Head of Compliance to manage central compliance functions locally, including to - educate and coach staff and management / ensure mandatory training and accreditation for applicable regulatory & compliance topics - set policies and procedures to ensure compliance with applicable regulations - draft suspicious transaction reports to the regulator - assist the Compliance Officer investigate internal reports or suspicious matters relating to conduct/market abuse
Advertisement & Marketing – Review and advise for regulatory compliance.
Assist the Head of Compliance produce and provide relevant training to staff on applicable compliance policies and procedures
Assist the Head of Compliance in the coordination of various compliance led committees including the Europe Compliance Committee, and participation in other relevant UK committees.
Assist implementation of the Compliance strategy, evaluate opportunities, resolve critical compliance business issues and develop appropriate solutions while adopting a continuous improvement approach Assist the development and implementation compliance frameworks and solutions for all compliance requirements. Support the Head of Compliance - UK in the management of the Compliance function to achieve optimum results within budgetary and time constraints. Ensure that all business controls are reflected in the Compliance Plan and Project Business Requirement Documents and compliance initiatives.