REQUIREMENTS & SKILLS:

• Professional qualification/s, such as the CISI Diploma or equivalent
• Proven track record of Compliance Advisory experience (5+ years) in an international bank
• Compliance advisory experience in one or more of Wealth Management, Capital Markets and/or Corporate Banking
• A strong knowledge of the FCA and PRA handbooks and familiarity with EU laws and regulations - existing and emerging (MiFID, MAR, PSD, SMCR, COCON as examples)
• A good understanding and experience of how to oversee and deliver a robust monitoring and testing programme
• An ability to analyse compliance issues from a risk management perspective
• Proven ability to communicate clearly and concisely on complex regulatory compliance issues at all levels, both internally and externally, able to articulate key risks associated with issues identified, along with full impact analysis on relevant business areas
• An ability to resolve conflict and deal with confrontation with tact and skill
• Ability to work independently, but a strong team player
• Assertive, analytical, accurate and tenacious
• Able to display initiative in identifying and presenting solutions to support activities and plans
• Forward looking and focused on effective processes and increasing efficiency
• Practical, pragmatic and pro-active approach
• Self-motivated, and well organised
• Legal background (or equivalent) to demonstrate legal interpretation of applicable rules and regulations
  We are committed to creating an inclusive recruitment experience. If you have a disability or long-term health condition and require adjustments to the recruitment process, our Adjustment Concierge Service is here to support you. Please reach out to us at adjustments@robertwalters.com to discuss further

ROLE & DEPARTMENT OVERVIEW:

The Compliance Function (Department) is the Risk Type Owner (RTO) over the Compliance and Behavioural Risks contained within the Risk Management Framework. Its mission is to assist senior management in identifying, assessing and effectively managing the compliance and behavioural risks of ABN AMRO.
It has developed a risk-based approach designed to ensure that reasonable measures are taken in order to avoid or reduce the possibility of such compliance and behavioural risks occurring and to minimise the damage if such a risk should nonetheless occur.
The Department is responsible for all compliance matters: Advice, policy, training, regulatory developments and assurance activities regarding financial laws, rules, regulations and codes of conduct, data privacy oversight and combatting financial crime.

KEY RESPONSIBILITIES:

• To work closely with the Director and Associat to deliver comprehensive compliance support, advice and assurance to the businesses and functions
• Support the Department’s mandate to embed UK and Group Compliance and regulatory standards, policies and procedures
• Provide support to ensure key regulatory and legislative developments are embedded within the business
• Provide support and input into the design and development of regulatory risk management frameworks and risk management practices
• Provide challenge and advice in respect of key regulatory risks, issues and areas of exposure
• Provide expert technical advice and face to face training across all business lines and enabler functions within AAB UK
• Provide support and challenge to key projects and advise the first line business teams to ensure they are fully conversant and compliant with current and potential regulatory requirements
• Take responsibility for the delivery of the Compliance aspects of the Monitoring & Compliance Testing programme - reviewing the reference controls, enhancing the scripts, performing the testing, reporting the results and advising on any necessary uplifts to controls as a result in collaboration with the Associate, Business Compliance;
• To work collaboratively with other Compliance colleagues, identify and share best practices and further improve consistency of approach across teams and regions
• Act as the delegate for the Director, Business Compliance on the production of both Head Office and internal management information and regulatory reporting to local regulators
• Lead and deliver on ad-hoc regulatory, governance and risk management assignments;
• Review and sign off relevant financial promotion and/or marketing literature to ensure that the content is clear, fair and not misleading and is compliant with internal policies and external regulatory requirements

Collaboration and Communication:

• The role requires the individual to work effectively at all levels across AAB UK to provide support and assistance
• Communicate with and influence stakeholders from business management, in both first and second line, especially those involved in Policy writing and Training delivery at Head Office
• Act as the key liaison with Group Compliance Monitoring and Testing teams
• Communicate with Compliance colleagues in both in the UK and other offices, on the risk selection and control design for periodic monitoring and testing activities
• Keep up to date on key regulatory developments and changing regulatory expectations in order to fully meet the function’s regulatory oversight mandate

Policies and Procedures:

• The role requires the individual to assist with the establishment, implementation and maintenance of adequate policies and procedures sufficient to achieve compliance with AAB UK’s obligations under relevant laws, rules and regulations.