This role is part of the Core Compliance team. The team carries out assurance reviews of business activities, manages regulatory reports and is responsible for policy development and training. The role will be part of a team of two, responsible for the operation of processes, controls and reporting that support the integrity of the business and allow it to meet its obligations to regulators.
- Carry out and maintain controls operated by Compliance, including the personal account dealing and gifts controls;
- Maintain the overall register of all reports required to be sent to regulators and ensure the information is up-to-date;
- Gather reports created across the CCP, monitor timeliness and completeness, and deliver reports to regulators reliably;
- Build expertise in policy areas (such as AML and sanctions) and deliver induction training;
- Responsible for coordination of management information on control processes.
- Assist with fieldwork for Compliance Assurance reviews as required;
- Fulfil responsibilities for team activities including maintenance of monthly MI, logging of incidents, contribution to team meetings, and supporting self-assessment in relation to external standards.
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