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For Companies At a Glance
- Tasks: Support regulatory risk oversight and compliance within a dynamic financial environment.
- Company: Join a leading financial institution with a focus on compliance and risk management.
- Benefits: Competitive daily rate, contract role with potential for growth and experience.
- Why this job: Make a real impact in regulatory compliance while developing your expertise in the financial sector.
- Qualifications: Degree in banking or finance, with strong knowledge of UK regulations and compliance.
- Other info: Collaborative team environment with opportunities to lead and innovate.
Contract role
Length: 12 months initially
Rate: £300- £400 per day
Purpose of the Role
Report to the Head of Central Compliance and support the oversight of regulatory risk and control functions within the UK Compliance team, helping to mitigate compliance risks and assist the financial crime, markets compliance, and central compliance teams.
Provide support to the Regulatory Risk & Control Oversight programme lead, acting as deputy when required.
Serve as the key coordinator for the implementation of UK Compliance policies, procedures, controls, risk assessments, and compliance review processes.
Contribute to achieving the strategic objectives of the UK Compliance function.
Key Responsibilities & Competencies
- Lead policy coordination efforts for the department, working closely with the Group Compliance Policy Portal team.
- Act as a subject‑matter expert on regulatory risk across financial crime, markets, and banking regulations, advising on their impact on UK operations and liaising with both first and second lines of defence.
- Manage the annual Compliance Control Self‑Assessment (CSA) process for UK Compliance, collaborating with the Non‑Financial Risk team to support broader London control assessments.
- Oversee the annual Compliance Risk Analysis process, ensuring timely delivery and reporting to senior management.
- Support the Regulatory Risk & Control Oversight programme in monitoring regulatory compliance and associated risks, including acting as Secretary and Deputy Chair of the London Regulatory Forum.
- Assist in maintaining and updating Compliance SMF Reasonable Steps documentation from a regulatory standpoint.
- Collaborate with Compliance Assurance on relevant reviews and contribute to remediation efforts where necessary.
- Adhere to the FCA’s Conduct Rules at all times, including acting with integrity, diligence, openness, fairness, and maintaining proper market conduct.
Key Requirements
- University degree or equivalent professional training in banking or financial services, ideally supplemented by project management qualifications.
- Experience working in an international financial institution.
- Strong understanding of UK regulatory frameworks and their relevance to corporate and wholesale banking.
- Familiarity with the organisation’s strategic goals and the role of the Compliance function.
- Solid knowledge of compliance risk categories and core regulatory principles.
- Excellent written and verbal communication skills in English.
- Proficiency in Microsoft Office applications.
Regulatory Risk And Control Oversight VP employer: Talentify
Contact Detail:
Talentify Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Risk And Control Oversight VP
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and regulatory risk space. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK regulatory frameworks. Be ready to discuss how your experience aligns with the role's requirements. We recommend practising common interview questions related to compliance and risk management.
✨Tip Number 3
Showcase your expertise! Create a portfolio or a presentation that highlights your past projects and achievements in regulatory risk and compliance. This can set you apart from other candidates and give you a chance to demonstrate your skills.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive and engaged with our platform.
We think you need these skills to ace Regulatory Risk And Control Oversight VP
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the role of Regulatory Risk and Control Oversight VP. Highlight your experience in compliance, risk management, and any relevant qualifications that align with the job description.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this role. Use specific examples from your past experiences that demonstrate your expertise in regulatory frameworks and compliance risk.
Showcase Your Communication Skills: Since excellent written communication is key for this position, ensure your application is clear, concise, and free of errors. This is your chance to show us how well you can articulate complex ideas.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates!
How to prepare for a job interview at Talentify
✨Know Your Regulatory Stuff
Make sure you brush up on UK regulatory frameworks and compliance risk categories. Being able to discuss how these impact corporate and wholesale banking will show that you're not just familiar with the basics, but that you really understand the nuances of the role.
✨Showcase Your Experience
Prepare specific examples from your past roles in international financial institutions. Highlight your experience with compliance control assessments and how you've contributed to policy coordination efforts. This will demonstrate your hands-on knowledge and ability to lead in this area.
✨Communicate Clearly
Since excellent communication skills are a must, practice articulating your thoughts clearly and concisely. Whether it's discussing complex regulatory concepts or your previous experiences, being able to convey your ideas effectively will set you apart.
✨Be Ready for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Think about potential challenges in regulatory risk oversight and prepare your responses. This shows that you can think critically and apply your knowledge in real-world situations.