monthly KRI and MI collation and monitoring to Team Leaders and/or Senior Management
project manager
Working hours
full-time
Responsibility
your field of responsibility
you will lead the regulatory reporting sub-team with a focus on regulations including EMIR and MiFID transaction reporting
you will report progress and status, prepare and lead workshops & steering committees and provide appropriate escalation where necessary
your future colleagues
the ideal candidate is a highly motivated and highly experienced Project Manager with a proven track record of delivering complex regulatory projects
you will be responsible for the delivery of your own book of work and for the oversight of contractors or junior project managers to implement change on the Private Banking platform
these apply presently and will continue to apply both for the foreseeable future and during the integration period with UBS
you will be working with our Operations and Regulatory Reporting colleagues to implement the changes and enhancements required to maintain the Bank’s compliance with these regulations
proactively identify and escalate/ raise potential risks identified for the business areas, working with First and Second Line representatives
priority areas will include, but not limited to suitability and appropriateness, fraud, financial crime, and other operational and regulatory risks
managing the error account
support the entity with Internal Audits and Compliance/ Operational Risk Reviews, dealing directly with the relevant key stakeholders
manage the creation of Dashboards for team leaders and Relationship Managers
not being afraid to question and challenge the status quo
Requirements
wealth Management experience essential
§ Wealth Management experience essential
relevant Wealth Management experience essential especially the understanding of suitability process
business Risk management essential
§ Business Risk management essential
proven experience of quality assurance, testing and recording essential
stakeholder management experience essential, covering the business front to back
§ Audit/accountancy experience preferred
architect
Working hours
full-time
compliance officer
Trade
legal
Legal
Language
english
Working hours
full-time
Responsibility
reviewing regulatory publications to analyse for impact to CSUK
participating in and leading on reviews of implementation of regulatory requirements
participating in and leading on internal investigations
provide advisory to the second line of defense including general marketing questions from awareness of FCA regulations
performing reviews and providing approval of financial promotions
attend regular meetings with business and various internal teams
performing reviews of new business/new product launches from, providing adequate challenge where required in relation to compliance risks
act as a conduit for wall crossings/market soundings adhering to internal policies and liaising with the third parties
Requirements
should have experience of complex and multi-jurisdiction financial crime investigations to conclusion, or a similar transferrable skill
should be an inquisitive person with an investigative attitude, who is willing to learn
should possess proven analytical skills and ability to undertake research and come to appropriate conclusions and present complex findings
must have the ability to prioritise, assimilate procedures and engage with stakeholders
demonstrate accuracy and good attention to detail. Proven ability to manage work well under pressure
should preferably be educated to degree level or have a relevant FCC qualification such as an ICA Diploma in Financial Crime
dedication to fostering an inclusive culture and value diverse perspectives
must have knowledge of the regulatory and legislative requirements for the relevant financial crime disciplines including AML/CTF, sanctions, ABC and Tax Evasion, with special focus on the UK SARs regime