About the role

Financial Crime and Compliance department is responsible for ensuring that all financial crime and compliance risks within the Bank are identified, managed or mitigated. It establishes and maintains the Bank's regulatory communications, compliance risk management, regulatory reporting and compliance advisory. As a Senior Officer - Compliance Assurance, you will be assisting in the planning, execution, and reporting of reviews across regulatory compliance and financial crime risk areas, assessing the design and effectiveness of controls, and validating remedial actions. You will play an important role in ensuring alignment with regulatory expectations and the Compliance Assurance Methodology. This is a full time permanent position.

Key responsibilities

• Assist in the development and delivery of the annual risk-based Compliance Assurance Plan in line with the Compliance Assurance Methodology
• Support the planning and execution of Compliance Assurance reviews, including risk assessment, control testing, and documentation of findings
• Evaluate the design and operating effectiveness of regulatory compliance and financial crime controls across Wholesale, Corporate, and Retail Banking activities
• Support the preparation of clear, concise, and well-structured draft reports, articulating issues, root causes and practical recommendations in line with internal standards
• Maintain accurate and comprehensive audit trails and workpapers throughout the review lifecycle in accordance with the Compliance Assurance Methodology
• Engage with stakeholders to communicate and validate findings, agree appropriate Management Action Plans (MAPS) and due dates
• Support the tracking and validation of MAPs to ensure effective and timely implementation
• Contribute to periodic management reporting, including updates to senior management and relevant committees on the progress of the Compliance Assurance Programme
• Maintain up-to-date knowledge of UK regulatory requirements and industry best practices relevant to the Bank’s activities
• Contribute to the ongoing enhancement of the Compliance Assurance framework
• Provide support on ad hoc projects, regulatory requests, and team deliverables as required, including representation at meetings where delegated

Requirements

• Degree educated preferably in Law, Banking or Finance
• Relevant professional qualification (e.g. CAMS, ICA, CIA)
• Demonstrable experience in Compliance Assurance, Internal Audit or a related control function within the Financial Services industry
• Knowledge of Wholesale, Corporate and Retail Banking products and services
• Knowledge of UK regulatory and applicable international frameworks
• Solid report-writing skills, with the ability to clearly articulate findings and recommendations
• Proficiency in Mandarin would be advantageous
• Excellent analytical skills with the ability to assess control design and operating effectiveness
• Excellent organisational and planning skills, with the ability to independently manage multiple tasks and deadlines
• Adaptable and with good problem solving skills
• Effective stakeholder management and communication skills
• Team player

Working here

Having a presence in the UK for more than 90 years, [Employer hidden — sign up to reveal] London Branch has been providing an excellent financial service to the market and maintain its competitive edge as an international bank operated in the UK. It has employees in over 33 countries, and it is one of the most internationalised overseas branch in the [Employer hidden — sign up to reveal] Group. The Bank values the diversity of its employees and aims to create an inclusive environment where everyone can speak up and enjoy the equal opportunities to grow both personally and professionally.

Learning and Development

We strive to offer you a continuous learning environment and we will invest in your development. We provide personalised and varied learning tools to support your growth and career through:

• access to the best in class qualifications from leading professional bodies such as the Professional Bankers Certificate and Green & Sustainable Finance Certificate from the Chartered Banker Institute
• 24/7 on-demand access to over 600 e-tutorials to build and refresh core and advanced banking knowledge
• regular pan-bank stay connected sessions to keep in touch with what is going on across the bank and build your network
• exploring your unique and collective strengths and development areas to become the best version of yourself using the globally renowned Insights personality profile
• developing our People Managers to help coach and guide you towards success, through our 9-month People Manager Development Programme
• encouraging a “growth” personal mindset and promoting continuous professional development (CPD) through annual events such as Learning at Work Week
• embracing change in a fast-moving industry and encouraging a forward-looking perspective on career development to “future-proof” your career
• promoting cross cultural intelligence and to seek out diverse and inclusive perspectives on challenges faced and their solutions

Benefits

We provide an attractive and comprehensive benefits package, offering flexibility that can enable you to select the benefits that suits your needs, including: Private Healthcare, Pension, Employee Assistance Programme, Complimentary Lunch, Cycle to work scheme, Retail Discounts.

Meet our People

Testimonials from employees such as Celine Luo, Daniel Shulakov, Rita Cobbold and Ashley Watson highlight the growth opportunities and inclusive culture at [Employer hidden — sign up to reveal].