Compliance, Internal Audit & Risk

Associate Director – First Line Controls

£90k - £100k per annum


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About the role:

Responsibilities (brief):

  • Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
  • Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Provide compliance expertise and presence in Internal with coverage across all the lines of business from Capital Markets to Corporate Banking, Investment Banking and Payments, and Group Treasury.
  • Be the Subject Matter Expert on Compliance matters, responsible for coordinating and providing consistency in practices as appropriate, liaising with the business, various compliance teams (including Advisory, Testing and Regulatory relations), Global Compliance, and other stakeholders as necessary.
  • Providing the expertise to identify, build and maintain a regulatory control library that is reflective of the business, liaising with business, C&S functions, updating systems, validating with Compliance, and keeping library up to date.
  • Be the lead for organizing, implementing, and governing the CRCA process across all lines of business, both annually and quarterly working alongside our second-line Compliance partners.
  • Support other risk assessments, investigations, incidents and reviews where compliance risk and regulation plays a significant part, with focus on improvements, read-across and to learn lessons.
  • Be the focal point of contact, directing and leading regulatory programmes, engaging with second-line Compliance testing, Internal Audit, other investigations.
  • Liaising with first line testing teams within region and globally to develop appropriate testing plans, track testing results and action plans for control resiliency.
  • Ensure all compliance issues (self-identified, second-line and internal audit) impacting the business and related actions are tracked, monitored and implemented to standard and on time. This includes – Proactively addresses any identified operational control gaps; Identify, analyses and addresses systemic and emerging operational risk key trends; Assists in responding to audit and regulatory findings; Monitors open audit and regulatory issues; review and reports operational losses with a compliance lense to ensure any systemic weaknesses in processes are addressed and evaluates the impact of any proposed changes to systems and processes on operational risk management.

Skills desired (brief):

  • Strong knowledge of applicable banking and capital regulation both UK, Europe and also understanding of Extra-Territorial requirements under US regulation and Canada regulation
  • Understanding of a Markets environment, demands of stakeholders in this environment and related products, securities and derivatives.
  • Strong organizational skills, be flexible and be able to work in a team environment.
  • Strong people and management skills with experience to engage and proactively work with all levels of stakeholders, across the business and controls & support functions
  • Good communication skills, both written and oral, with ability to conduct detailed investigations and write concise reports in a timely manner, and accuracy and attention to detail

If interested please apply below. Alternatively, email

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.

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