1. Contribute to the development/establishment of adequate in-house controls and compliance procedures and maintain appropriate records/registers.
2. Contribute to the development of the Compliance Monitoring Programme to meet the needs of the business and regulatory system and undertake business wide reviews covering SYSC, COBS, DISP, TC, BIPRU, SUP, Data Protection/GDPR and JMLSG requirements within the agreed framework for Treating Customers Fairly (TCF)/Conduct Risk; provide reports to the Compliance & Financial Crime Manager/management team on findings.
3. Provide support for ensuring appropriate AML and DP/GDPR arrangements are in place and relevant legislation is complied with. Investigate/submit reports, as relevant, to the appropriate agencies.
4. Review/approve financial promotions and undertake reviews of Self Sign-Off (SSO) promotions.
5. Act as alternate for the Compliance & Financial Crime Manager in attending internal and external meetings, where required.
6. Assist with preparation of reports and management information and prepare/submit regulatory returns.
7. Provide advice, training and guidance to the business on regulatory matters and support training administration.
8. Support Internal/External Audits.
9. Review regulatory papers and monitor outside developments to determine relevance/impact on the business – communicating to risk and compliance team members and other stakeholders proposed/pending regulatory changes and their likely impact on the business so that the Bank can put appropriate processes in place to meet future regulatory requirements.
10. Maintain an up to date knowledge/awareness of relevant regulatory issues/future trends.
1. Lead the co-ordination, analysis and reporting of operational risk, providing support and challenge to the business teams through reviewing and challenging department risk registers and co-ordinating operational risk events.
2. Provide general risk support to the CRO assisting in the delivery of a proportionate and effective Risk Management Framework, including the identification, analysis, mitigation and reporting of risk across the business.
3. Provide technical advice/guidance on risk matters.
4. Assist the Finance team and CRO with reviews of the ICAAP, ILAAP and Recovery Plan as required.
5. Consider the impact of new regulatory/infrastructure developments on the company’s risk profile.
1. Undertake general administration duties, project work and minute meetings, as requested, and participate in staff forums/meetings, as appropriate.
2. Contribute to the effective and efficient running of the Compliance function and wider CRO team and represent the team appropriately across the organisation and Charity Bank appropriately to the wider community.