Vice President - UK Regulatory Compliance - BFSI

Job Description:

Accountabilities:

- Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems to.

- Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct.

- Conduct investigation of compliance risk events or breaches. Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences.

- Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank's internal policies are aligned with international standards, including jurisdictional requirements.

- Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management.

- Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime.

Vice President Expectations

- To contribute or set strategy, drive requirements and make recommendations for change. Plan resources, budgets, and policies; manage and maintain policies/ processes; deliver continuous improvements and escalate breaches of policies/procedures..

- OR for an individual contributor, they will be a subject matter expert within own discipline and will guide technical direction. They will lead collaborative, multi-year assignments and guide team members through structured assignments, identify the need for the inclusion of other areas of specialisation to complete assignments. They will train, guide and coach less experienced specialists and provide information affecting long term profits, organisational risks and strategic decisions..

- Control activities across the relevant businesses. Your role will be responsible for providing oversight of Conduct risks and, in partnership with Legal, provide advice and oversight on rules, guidance and proposed regulatory changes. You will also have the opportunity of working closely with the COO Compliance Team.