JOB DESCRIPTION

Overall Purpose
To provide regulatory advice in relation to the UK Transfer Compliance team’s areas of responsibility to all business areas and support functions.

ANNUAL RE-CERTIFICATION PROCESS

• To liaise with HR to identify staff which require re-certification
• To assist in organising the annual re-certification exercise
• To review the Compliance section of the Job Descriptions
• To assist HR with Hireright training and competence questions when necessary
• To review the Fitness and Proprietary and the Professional Conduct and Ethics forms
• To follow up on the completion deadline of the Competence and Capabilities sign off by both staff and line managers

REQUIRED SKILLS/QUALIFICATIONS/EXPERIENCE

Experience with dealing with professional ethics topics in a large investment bank
Experience of undertaking control reviews or other monitoring / testing experience
Strong Analytical skills · Good aural and written communication skills
Team player who can also work independently
Ability to deal with people of all levels

• To comply with all applicable legal, regulatory and internal compliance requirements as issued from time to time, including but not limited to: The London Compliance Manual, the FCA’s Conduct Rules, Compliance policies and procedures, Security policies and procedures, including but not limited to the prevention of Financial Crime and Fraud, including reporting obligations to the MLRO.
• To develop regulatory knowledge to ensure ability to undertake the role.
• To complete all mandatory training as required to attain and maintain competence