Main Duties:
  • Assisting in the execution of the Compliance Monitoring Programme by carrying out compliance reviews (in-depth analysis to identify gaps and report writing).
  • Assisting in dealing with correspondence and/or responding to queries from regulators.
  • Overseeing response to customer complaints to ensure they are resolved in line with regulatory standards.
  • Performing oversight over Regulatory/Supervisory Reporting.
  • Carrying out Market Abuse Surveillance.
  • Monitoring regulatory and legislative developments related to banking, investments and custody.
  • Supporting the business to respond to regulatory change through participating in regulatory change projects.
  • Responding to ad-hoc queries and providing advice on issues that are referred by the business lines (mainly Private Banking, Securities & Custody, Depositary services).
  • Identifying regulatory compliance risks and supporting the business to improve/introduce controls to mitigate such risks.
  • Working to achieve increased compliance awareness and maintain a strong business compliance culture.
  • Other ad-hoc duties required for the operation of the Compliance function. 
Qualifications / Requirements:
  • University degree in Banking and Finance is considered an asset.  A degree in any other subject related to financial services or other relevant banking/investments/compliance qualifications may also be considered.
  • Basic knowledge of financial services legislation and regulation, in relation to banking and investment products and services.
  • A minimum of 1 year experience working in the financial services industry (banking, investments or regulatory compliance).
  • Ability to research and strong analytical skills, with attention to detail.
  • Must have objective approach to be able to exercise independent judgment, express opinions and make impartial recommendations.
  • Excellent command of English, both oral and written.
  • Able to communicate and work well with individuals at all levels in the Bank.
  • Assertive individual, capable of gaining the respect of senior management, colleagues and regulators.
Extensive training will be provided.
An attractive remuneration package will be offered to the right candidate.
The data you submit will be processed as per the Candidates Privacy Notice.