Executive - Compliance Advisory
Skills
About This Role
Job purpose
The Compliance function is an independent Second Line of Defense (“2LOD”)
department
that reports directly to the Chief Executive, with unfettered access to the Board of Directors.
The Compliance function is dedicated to supporting NBF to actively manage Regulatory Compliance (RC), Conduct Risk and Financial Crime (FC) risk.
Duties and responsibilities
- Primary responsibility is to lead the effective provision of compliance advice and assistance to Business units' compliance, including:
- Advice and Support acting as a Trusted Advisor and effective 2LOD function for Wholesale Banking Group (including Financial Institutions), Business Banking, Retail, Wealth Management and Treasury.
- Compliance advice and support provided across relevant areas of Regulatory Compliance, Conduct Risk, AML/CTF and Sanctions as required by NBF’s businesses.
- Will head a team of 4 experienced managers each allocated a primary area of business to support but also working functionally as a team. Possible expectation individual will personally lead support to Treasury business.
- Develop and implement effective Compliance Policy and associated Process including directing and where necessary implementing requirements project for key regulatory change projects.
- Assist the addressing of Compliance relevant findings from internal or external reviews or other aspects of Compliance Assurance program.
- To support the Head of Compliance to deliver consistent high-quality compliance advice in the Business Lines to ensure delivery of service standards to external and internal stakeholders.
Experience
>10 years of compliance/assurance banking experience of which 5 years in a similar role.
Qualifications
- A minimum degree (Bachelors) in a business-related field or equivalent.
- A recognized qualification or certification in Banking, Compliance, Internal Audit or Law
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