Purpose of Role:
(Summarise the job's intent and why it exists, in one or two sentences)
Confirm entities the role will interact with on a day to day basis)
As a member of the UK Corporate Compliance team this role will focus on the management of regulatory requirements and the drafting of reporting to UK governance forums.
The main focus of the role is to assist with the management of all regulatory requests from the FCA and PRA and liaising with stakeholders across the bank to assist with the delivery of those deliverables.
The role will also be responsible for the collation of monthly MI that will form part of the reporting that is made to local committees.
(Identify 5-8 major responsibilities performed by the job. Include the approximate percentage of time performing each responsibility during a typical week/month. If the percentage of time performing a function is less than 5%, that function should not be listed)
Typical activity for this role will include:
- Assisting with the management of regulatory exams and deliverables
- Attendance at regulatory meetings to take minutes of key themes and actions
- Management of the regulatory deliverable tracker
- Uploading information to the Regulatory Reporting System as per Compliance Regulatory Liaison procedures.
- Monitoring regulatory change announced by the UK regulators and updating the Regulatory Change tracker.
- Preparation of regular reporting to forums such as the UK Risk & Compliance Committee.
- Any other ad hoc requests which help with the running of the UK Corporate Compliance team.
- Support and encourage the culture of 'Risk Excellence' across the business and operate with a high moral code
- Provide appropriate management information as required to support decision making
- Ensure that the highest level of the Code of Conduct is displayed in your behaviour
- Display a culture of individual ownership of tasks to embed a clear individual sense of accountability in performing the role
- Adhere to limits of delegation and escalation procedures required by your manager so that you comply with internal policies and external regulations
Level of Education/ Qualifications:
Degree qualified, or of graduate calibre, or hold relevant Compliance Qualifications, or have appropriate experience for the role.
Skills and Experience (interpersonal, numerical, problem-solving, analytical, etc)
Experience in a Regulatory environment in financial services or experience gained in monitoring or advisory compliance is preferable.
· Knowledge of the FCA and PRA rulebooks and regulatory expectation in the UK and awareness of some other global regulatory expectations.
· Proven business analysis skills (data integration and manipulate) and experience of project management.
· Demonstrated strong ability to map process flows and determine effective controls to mitigate risks.
 For Senior Management Function roles, the wording in this Job Description should be aligned, at all times, with the role Statement of Responsibilities and Management Responsibilities Map, specifically as regards the description of key functions