Job Description

Join us as a Compliance Lead, Trade & Transaction reporting

This role provides an opportunity to support, develop and embed the risk and control mechanisms for the business, independently overseeing and challenging the effective management of risks and controls You'll provide support, advice, MI and escalation to leaders and the overall business on risk management, recommending necessary actions to the management team for establishing and achieving financial objectives Broaden your regulatory knowledge and understanding and develop in a strategic, proactive role which supports the management of the bank's risk profile

What you'll do

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This Compliance Lead role will see you helping to develop and manage our compliance and conduct policies so that we can make sure they are fit for purpose and meet the relevant regulatory expectations.


You'll be assessing existing and proposed financial plans and policies to make sure the bank's financial administration is efficient and effective, as well as identifying areas of concern, bringing significant variances with supporting detail to the attention of management.


Day-to-day, you'll be:

Providing regulatory compliance and conduct insight, oversight and challenge in relation to relevant business units, ensuring compliance arrangements Contributing to the assessment of the conduct strategy for the relevant business units to make sure it's consistent with, and supports, an effective regulatory framework Providing regulatory advice and analysis in relation to relevant business initiatives, bespoke projects, transactions and investigations to ensure compliance with all relevant laws and regulations Supporting colleagues to provide input on regulatory policy and conduct risk strategy, as well as the implementation of the conduct framework, including MI, reporting, governance, training and culture Helping identify potential or actual conduct and compliance risks and ensure appropriate escalation, remediation and mitigation to manage risks back within appetite

The skills you'll need

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To succeed in this role, you'll have experience in a compliance, conduct or risk management role or similar relevant experience. You'll have knowledge of the regulatory environment and its frameworks, and ideally experience of interpreting regulatory rules and regulations.


You'll also bring:

Knowledge and experience of Trade & Transaction reporting relating to key UK regulations, such as MiFIR, EMIR, SFTR An understanding of wider MiFIR and EMIR requirements, such as clearing obligation, DTO, appropriateness Excellent communication skills, including a strong writing ability and the ability to influence and build relationships with stakeholders at all levels * Great attention to detail with strong analytical and problem solving skills