An opportunity has arisen for a Regulatory Affairs professional at a Global Banking Group inLondon. Reporting to the Director of Regulatory Affairs, you will be responsible for reviewing materials related to interaction with the regulators, maintaining tracking of Regulatory developments on the internal CRM database, co-ordinating and following up on action plans with stakeholders and producing periodic and ad hoc management information reports.
Responsibilities will include:
- Coordinating with business units and control functions to determine responsible groups and parties for each action plan formulated in the regulatory engagement database as a result of a finding, key concern or issue by a regulator and update the Regulatory Relations database accordingly.
- Maintaining the regulatory engagement database, and the establishment of consistent standards around the process of capturing, storing tracking and reporting on regulatory findings and related action plans.
- Ensuring appropriate buy-in of action plans for accountability and ownership
- Liaising with business units contacts to monitor and track identified action plans
- Coordinating with business units to identify findings that constitute control issues
- Providing advice and guidance on questions raised by control functions and business units
- Liaising with Internal Audit to facilitate reporting.
- Preparing monthly and quarterly status update reports, as well as other management information on metrics related to findings and regulatory action plans.
- 2+ years of Regulatory Compliance experience or Legal experience
- Institutional / Investment Banking Experience is desirable
- Bachelor's degree
- Experience using Excel and SharePoint
Salary - £40,000 to £50,000 (+ highly competitive package)
This is a fantastic opportunity for a junior regulatory compliance professional to progress their career within a highly successful global organisation. Applications are now open, so if you are interested please send a copy of your CV in Word format directly to Ryan Graham at r.grahamatrealstaffing.com