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Overall purpose of the role.
The jobholder will be responsible for managing the implementation of UK regulatory changes that impact our investment banking clients SA and London Branch. This includes executing projects, producing training materials based on new regulatory developments, and updating policies and procedures to reflect these changes. The role requires a solid understanding of the business activities within the branch to effectively assess the relevance of regulatory developments and to recommend appropriate implementation actions.
Main responsibilities of the role.
Regulatory Analysis and Project Management
- Continuously monitor and analyse new laws, regulations, and best practices arising from UK regulatory developments to identify their impacts on our investment banking clients London Branch.
- Initiate regulatory change projects in collaboration with the UK Head of CIB Compliance and other key stakeholders, ensuring proper escalation to relevant governance bodies.
- Develop and manage project plans for regulatory implementation, detailing the required steps and stakeholder responsibilities to ensure successful execution.
- Document and report on project statuses, including risks and issues, to maintain transparency and accountability throughout the implementation process.
Training Material Production and Policy Updates
- Create comprehensive training materials to educate staff on new regulatory developments and their implications for business operations.
- Update existing policies and procedures to ensure alignment with current regulatory standards, facilitating smooth transitions during implementation.
- Collaborate with relevant departments to ensure that training materials and policy updates are communicated effectively across the organization.
Stakeholder Engagement and Governance
- Establish and maintain strong relationships with branch management, business areas, and support functions to facilitate effective regulatory change management.
- Lead the collation and preparation of management information (MI) for key governance bodies, tracking actions arising from discussions and decisions.
- Provide routine and ad-hoc reporting to Head Office regarding regulatory developments, project statuses, and compliance initiatives.
