AVP, Compliance Monitoring

First Abu Dhabi Bank (FAB); London; On-site; GBP 70,000 - 100,000; Full time

Job summary

Join a leading bank's Compliance Monitoring Team in London, overseeing adherence to regulations and conducting in-depth assessments. The role demands an experienced compliance professional capable of navigating complex regulatory environments and providing strategic insights. Ideal candidates will have strong analytical abilities, excellent communication skills, and relevant qualifications, with the opportunity for career growth in a dynamic finance environment.

Qualifications

• 5+ years’ experience in Compliance Monitoring or equivalent roles.
• Solid working knowledge of banking regulations.
• Fluent in English with strong written and presentation skills.

Responsibilities

• Assist in the regulatory risk assessment and compliance monitoring processes.
• Perform regular compliance checking and reporting of monitoring results.
• Provide feedback on regulatory changes to enhance compliance programs.

Skills

Analytical skills

Interpersonal skills

Communication skills

Decision making

Proactivity

Education

Degree level education

Relevant professional qualification (ICA, CAMS, CISI, IIA)

Job description

Direct message the job poster from First Abu Dhabi Bank (FAB)

JOB PURPOSE:

To work as part of the Compliance Monitoring Team (CMT) on the annual risk-based Compliance Monitoring Program (CMP), to ensure that the businesses, functions, and other areas of FAB UK operate in accordance with local (and wider, where relevant) rules and regulations.

Key Accountabilities:

• Assist in undertaking the regulatory risk assessment process which will drive a risk-based CAP.
• Assist in the creation of a risk based and proportionate CAP and develop Compliance Assurance procedures, test scripts and other relevant Assurance templates.
• Contribute to the planning, execution, and reporting of CAP reviews in adherence with FAB UK Compliance Assurance and Permanent Control procedures, and Group Compliance Assurance requirements.
• Perform regular compliance checking, review, self-assessment required by regulators, management and/or the Group and draft findings/reports.
• Provide value-add feedback in terms of upcoming regulatory changes or internal changes in order to support a dynamic Compliance Assurance program
• Timely and effective reporting of Compliance Assurance Plan review results highlighting regulatory weaknesses and areas of non-compliance for management together with recommendations for corrective action.
• Track implementation of corrective actions agreed with the business and undertake pre or post issue closure testing, when required.
• Reporting and Issue Closure: Support the delivery of succinct and accurate Compliance Assurance reporting at branch and Group-level, ensure smooth delivery of duties/tasks and manage follow-ups on corrective actions arising from the Compliance Assurance Plan and GIA actions.
• Collate and draft relevant MI for management within prescribed deadlines and ensure that the appropriate, timely and relevant compliance risk information is provided to management via the various compliance and permanent control committees in FAB UK.
• Perform other additional tasks as required from time to time as directed by the SVP Regional Head of Compliance, Europe.
• Maintain an open, transparent, and effective relationship with internal and external stakeholders, including FAB UK business areas, Group Compliance, Group Audit and UK regulators.
• Complete all mandatory Compliance training within prescribed timelines.

Qualifications & Experience:

• Preferably educated to degree level.
• Preferably with a relevant professional qualification (e.g. ICA, CAMS, CISI, IIA)
• 5+ years’ experience in Compliance Monitoring or equivalent roles within financial institutions.
• A solid working knowledge of banking regulation, including the PRA & FCA Handbooks
• Highly observant and detailed, able to make balanced judgments and take risk-based decisions.
• Ability to work under pressure and to tight deadlines.
• Fluent in English with very strong written and presentation skills.
• Strong analytical, interpersonal and communication skills.
• Proactive, with the ability to generate ideas, think creatively and develop innovative solutions.
• Discreet, high levels of integrity and able to handle highly sensitive information with absolute confidentiality.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing

• Industries

  Banking

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