Head of Compliance (Chief Compliance Officer)

Recruiter
United Bank Limited UK (UBL)
Location
London
Salary
Competitive
Posted
14 Sep 2017
Expires
12 Oct 2017
Contract Type
Permanent
Department: Compliance Reports to: Chief Executive Officer (dotted line to BRCC, Board)

Key Responsibilities

Prescribed Responsibilities as per Regulatory SMF 16 - Compliance Oversight Function

Lead UBL UK's compliance operations by directing and coordinating activities to ensure that the Bank's compliance regime and processes are maintained in accordance with current and future UK Financial services regulators rules, requirements and policy.

Define, develop, communicate, implement and monitor UBL UK's regulatory compliance policies and monitoring plan. Responsible for the monitoring and assessment of compliance of all UBL UK branches. Working collaboratively with UBL UK's Senior Management to develop and implement compliance systems and process improvements, as appropriate. Follow direction as set by the CEO and the Board of Directors. Liaise and work with the UBL UK Senior Management, Chief Risk Officer and Directors to develop and implement appropriate best practice compliance standards and practices. Advise the Chief Risk Officer, Senior Management and Directors of regulatory issues that could affect new business developments or current business activity.

Responsible for advancing the TCF and "where you come first" ethos within UBL UK.

Location: Head Office London

Supervisory Responsibilities: MLRO, Compliance Department

Experience:

- Experience in a similar role within the financial services industry, including direct accountability for critical business functions.
- Complies with requirements of Authorised Person regime to be registered with the FCA for the controlled function SMF16 Compliance oversight function.
- Adequate up to date knowledge to act as MLRO (when required).

If you do not hear from us within 20 working days, please assume you were not successful on this occasion.