Interim Senior Compliance Analyst

London (Central), London (Greater) (GB)
£400 per diem
14 Jun 2018
26 Jun 2018
Analyst, Finance, Risk / Compliance
Contract Type
Contract / Interim

The Organisation

Russam GMS is working with a long-established AIM-listed finance group that has recently been authorised as a bank, offering a range of savings products for retail and SME customers.

Role & Responsibilities

Reporting to the Head of Risk & Compliance, this is an exciting interim opportunity with a small specialist bank.

The Senior Compliance Analyst will:

  • Report to the Head of Risk & Compliance
  • Determine scope and approach of monitoring, testing and surveillance reviews
  • Conduct fieldwork in line with the agreed test programme and adequately document tests and findings
  • Develop recommendations for corrective action
  • Write reports that present review results, articulate the rationale for findings, the risks posed and actions required to address those risks
  • Continue to educate the business on the role of the Compliance team
  • Support the Head of Risk and Compliance in researching and understanding changes to the legal and regulatory financial services regime that are pertinent to the Bank
  • Review and maintenance of policies and procedures to ensure compliance with applicable regulations
  • Assist in company secretarial duties with respect to committees and papers
  • Provide advisory with respect to compliance matters
  • Support the delivery of Compliance Training to the business, including senior management
  • Support ad hoc compliance and regulatory projects as necessary
  • Provide support to the MLRO
  • Carry out screening, and CDD/AML monitoring reviews, within the second line function
  • Provide support to the DPO with respect to GDPR monitoring and reporting within the second line as Data Champion
  • Assist with reviews, reports, metrics, and enhancements with respect to TCF and Conduct Risk
  • Work closely with the legal and documentation functions and other colleagues as required
  • Support coaching of other compliance staff

The Desired Applicant

The Senior Compliance Analyst will:

  • Possess recent experience of delivering compliance monitoring within a lending or retail banking environment
  • Have the ability to understand and interpret various laws, regulations and policies
  • Have excellent oral and written communication and presentation skills
  • Demonstrate the ability to work independently and as part of a wider team with minimum direction
  • Have the ability to develop good working relations with key stakeholders
  • A significant asset finance or retail banking experience
  • Monitoring or policy experience in COBS/BCOBS/SYSC/CONC/DISP
  • Thorough understating of arrears, defaults, recovery, forbearance, responsible lending, TCF and complaints handling
  • Good understanding of conduct risks

How to Apply

Interested applicants should log in / register and upload an up to date CV. No other documents are required at this stage.

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