THE COMPANY:
Our client is an international bank. They are a leading provider of Trade Finance, Corporate & Institutional Banking.
THE RESPONSIBILITIES:
- Conduct and execute Bank wide risk-based Compliance Monitoring and Control Testing Plans for Financial Crime and Regulatory Compliance
- Maintain and update Bank wide risk-based Compliance Monitoring and Control Testing Plans and suggest additions and amendments as required
- Develop management information for all monitoring and assurance tests and reports
- Conduct cyclical thematic monitoring reviews across business lines and support areas
- Conduct periodic business / desk reviews as required
- Conduct assurance reviews (i.e. control testing) as required
- Proactive and timely escalation of issues with supporting information.
- Ensure timely resolution of outstanding issues and actions
- Some planning and co-ordination of monitoring oversight of subsidiary compliance monitoring plan.
- Act as subject matter expert across the Bank for all compliance monitoring issues
- Support compliance officers on relevant monitoring issues
- Help to develop, review, update and communicate Compliance Policies and Procedures, with specific emphasis on monitoring and assurance, to enable the Business and the Bank to comply with all applicable regulations and requirements and operate within the Bank’s Risk Appetite
- Assist with any compliance monitoring specific investigations on behalf of regulatory and other competent authorities and Senior Management of the Bank
- Participate in, and attend, relevant seminars or forums at the direction of management
- Participate in key projects which develop and enhance the overall monitoring & assurance capability of Compliance.
EXPERIENCE REQUIRED:
- Previous monitoring or quality assurance experience, particularly in a trade finance setting
- Financial Crime monitoring reviews experience covering areas such as Fraud, Sanctions, FATCA , AML etc
- Previous experience of working as part of a Monitoring / Testing / Quality Assurance or Internal Audit function within a Wholesale / Corporate Banking (preferable) or Investment Banking institution
- Understanding of the compliance framework and regulatory landscape, with particular focus on financial crime
- Understanding of the legislative and regulatory environment
For further information please contact Hannah Tabatabai
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Compliance Monitoring Officer (Financial Crime/Trade Finance focus) (6 month FTC) employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
