My Client, an established start up bank, based in London are looking for a Compliance Officer to join their rapidly growing business. The Compliance Officer is responsible for the provision of expert compliance advice to the business regarding conduct and regulatory risk in the Bank.

As a compliance Officer you will be responsible for:

• Identify potential and actual conduct rule breaches for reporting to the Head of Compliance, Senior Management and the Regulators as Enforcing changes to relevant manuals to reflect regulatory requirements, monitoring the businesses for adherence to the regulations and providing input to audit and training programmes.
• Work with the Head of Compliance to develop, periodically review and update the Business Codeof Conduct to ensure continuing relevance in providing guidance to management and
• Manage the complaints process for the Work with the business to ensure customers complaints are managed appropriately and ensuring fair outcomes for customers.
• Work with the Bank's Whistle-blower Champion to ensure the Whistleblowing policy is up to date and assist on developing and overseeing a system for uniform handling of alleged breaches and implement an appropriate whistleblowing policy.
• Monitor and coordinate compliance communications to Board, Senior Management and other departments to remain abreast of all new regulations and guidance and provide recommendations to mitigate any emerging risks.
• Ensure the Conflicts of Interest policy is maintained up to
• Plan the communications and training strategy for the COI risk and conduct training to the staff as deemed appropriate.
• Set policies and standards to cover compliance issues engaging with nominated policy owners andthe Head of Compliance as required for submission and approval by Board and/or other Board
• Responsible for the maintenance of the company policy and procedure
• Act as UK site Policy Manager coordinator for all approved policies, procedures and manuals, ensuring all staff have read and attested to relevant Maintain Policy Manager site for new starters and leavers with relevant access rights, and dissemination of all policies.
• Review and approve financial promotions and published recommendations in line with company policies, prior to their Also, monitor real-time financial promotions, to ensure that they comply with the FCA's requirements.
• Advising on the compliance aspects of new financial services / product development.
• Supporting line management in discharging their responsibilities to comply with applicable regulations (e.g. by reviewing new products/activities for compliance implications, compliance and data protection, marketing campaigns, website content libraries ).
• Work closely with Human Resources and Business Lines Heads to ensure that the Bank complieswith the SM&CR requirements in terms of maintaining up to date SMF regulatory applications and performing the annual certification regime for
• Ongoing close review of all legislative, regulatory and compliance guidance or best practice developments or changes that might affect the Bank and its Ensure the Board, EXCO, and the Head of Compliance are fully briefed on these and that s/he has regard to them when taking decisions.
• Advising line management of the impact on their businesses and functions of applicable external Where relevant prepare summary briefing papers for the Board.
• Providing support to line management in its liaison with regulators, auditors (internal & external), other group companies and external organizations where appropriate.
• Support the Head of Compliance in the planning and delivery of the Compliance and Regulatory Committee for the Bank.
• Act as Secretary for the Compliance and Regulatory Committee.

As a Compliance Officer you will be need:

• Minimum 5 years' experience working within Compliance or Legal function within a regulated financial services
• In depth knowledge of UK regulatory compliance requirements including, but not limited to, the FCA/PRA Handbook, AML/Financial Crime and risk management principles both in the UK and EEA with an awareness of extra-territoriality issues in other jurisdictions as
• Strong writing and verbal
• Advanced knowledge of MS Office products
• Attention to
• Ability to produce timely and accurate reports delivering key issues and messages with minimal managerial input.
• Take appropriate ownership and responsibility for timeliness and quality of
• Excellent research, problem-solving and team working spirit.
• Strong and effective communication and persuasive inter-personal skills to up to senior management, including challenging, investigative, influencing and presentational