Compliance Risk Management Officer - Regulatory

Antrim  ‐ Onsite
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Keywords

Risk Analysis Governance Risk Management and Compliance Regulatory Compliance Finance Maintenance Risk Appetite Risk Management Editing Banking Services Customer Demand Planning Franchising Investment Banking Risk Measure Trading Regulatory Change Violations of Law

Description

Compliance Risk Management Officer sought by leading investment bank based in Belfast.

*Inside Ir35 - 3 days a week onsite*

Key Activities - Please list in order of importance/time spent (highest to lowest)

  • Serves as a compliance risk officer for the Compliance Risk Management team for the bank responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise.
  • In addition, engages with product and function coverage teams, in order to partner to develop and apply program solutions that meet business and customer needs in a manner consistent with the banks program framework

Key Activities include:

  • Participating in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices for the team.
  • Analyzing complex comparative data, preparing country and cluster-level reports related to compliance risk assessments, and monitoring of compliance related issues.
  • Reviewing materials to ensure compliance with various regulatory and legal requirements and to ensure compliance risks are appropriately identified and addressed.
  • Investigating and responding to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management on how to proceed, and preparing responses for the regulatory inquiries.
  • Overseeing the monitoring of adherence to the banks Compliance Risk Policies and relevant procedures and preparation, editing, and maintenance of Compliance program related materials.
  • Interacting and working with other areas within the bank as necessary.
  • Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.

Strong knowledge of the UK regulatory framework and relevant laws, rules, regulations, risks and typologies.
Strong understanding of key regulatory priorities and developments impacting UK financial services firms, and ability to interpret and assess policy and regulatory changes for impact.
Demonstrated knowledge in area of focus, including but not limited to compliance risk reporting, analysis and interpretation of compliance risk metrics and MI, compliance risk appetite assessment, interpretation of regulatory change, third party management compliance risk management, personal trading and outside activities.

Please apply within for further details or call.
Alex Reeder
Harvey Nash Finance & Banking

Start date
n.a
From
Harvey Nash IT Recruitment UK
Published at
29.05.2024
Project ID:
2755899
Contract type
Freelance
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