Job details

Compliance Officer - CASS Oversight (12month FTC - Full or Part-Time)

Profile

Triodos Bank is one of Europe’s leading sustainable banks, whose mission is to make money work for positive social, environmental and cultural change. We are excited to be recruiting for the role of Compliance Officer on a 12 month FTC either (full or part-time; minimum of 4 days a week) who will report directly to Senior Legal and Compliance Manager, leading the compliance oversight and monitoring activities for the Bank.

You will have a solid track record of experience in a compliance related role within financial services, with a good level of competence relating to compliance oversight, ideally involving to banking, savings and investment products, with Client Assets Sourcebook (CASS) knowledge.

More broadly, a strategic and working knowledge of the UK financial sector regulatory environment, including the Financial Conduct Authority (FCA). A compliance qualification is highly desirable. Good organisation, thoroughness, keen attention to detail, and being able to see tasks and projects through to completion. Proficient in Microsoft applications and a genuine interest in people and the planet.

Key responsibilities are:

  • Leading the UK Compliance oversight and monitoring activities in relation to CASS compliance, including preparing reports for the CASS forum and external regulators.
  • Assisting in wider reviews across all areas of the UK branch, using the local Compliance risk universe to establish areas of risk, requiring a Compliance thematic review.
  • Using a risk-based approach within the Triodos Group risk appetite, take a proactive approach to seeking improvements in business activity to mitigate the regulatory risk.
  • Confidently and diplomatically determining, in partnership with the business units (all levels including the Non-Financial Risk Committee, the Core Management Committee, the Audit and Risk Committee and the Board), clear and timely action plans to mitigate the compliance risk identified to be outside of the Triodos risk appetite during Compliance oversight and monitoring activities.
  • Delivering proactive and commercial judgement, anticipating risks and, where appropriate, challenging the business in a confident and diplomatic manner so that clear solutions are achieved.
  • Where applicable, monitoring through to completion, action plans generated from UK Compliance thematic reviews.
  • Representing UK Compliance as the primary contact for Compliance technical expertise at applicable internal meetings, including project meetings.
  • Providing support to local functions on the Compliance themes, whilst having the strength of character and tenacity to follow up any concerns and challenge where appropriate, to deliver accurate and effective mitigation of the compliance risk.
  • Developing and maintaining the Bank’s compliance policies with focus on those conducting monitoring reviews.
  • Maintaining the local inventory of relevant compliance risk registers as part of the compliance team’s risk universe.
  • Producing required reports and action plans for the UK Head of Legal & Compliance including those for Group Compliance and, where required, periodic reports for the UK Non-Financial Risk Committee and the Audit and Risk Committee.
  • Ad hoc queries and projects related to Compliance including general improvements to processes and procedures.
  • Performing analysis of relevant legislative and regulatory change to provide clear, timely guidance to the business, including in the form of Triodos Regulatory Notes (TRNs), communicating likely impact and identifying required actions.
  • Supports the Senior Legal and Compliance Manager by maintaining oversight of the operational effectiveness of the TBUK’s systems and controls designed to achieve compliance with CASS. Assists in preparing a report to the Board of Directors in respect of effectiveness of these systems and controls. Assists in preparing regulatory notices to the FCA in relation to CASS, as part of TBUK’s statutory reporting requirements.
  • Any other duty’s which may be required, from time to time.

Offer

Triodos Bank is proud of its culture, ethos and ability to make a positive change in society. It is important that candidates evidence a strong commitment to Triodos Bank’s core values of ethical sustainability and transparency, as well as the personal qualities to live these values.

In return for your commitment and hard work, you will be rewarded with a competitive salary, plus a benefits package including:

  • Non-contributory pension scheme from your first day of 8% in year 1 and 10% from year 2 onwards
  • Life Assurance (worth 4 times basic pay)
  • Income Protection - 75% of basic pay after 13 weeks sick and following six months service
  • A wellbeing allowance of £100 a year
  • Private Medical Insurance
  • A Health Cash Plan
  • Vitality Leave – After each 7 years of service, you will be able to take a sabbatical of up 2 months paid leave
  • 25 days (FTE) plus bank holidays per annum
  • A buy and sell holiday scheme of up to 5 days (FTE)
  • Additional increase in holiday though length of service (up to 5 days FTE)
  • Season Ticket Loan available for commuting into the office
  • Voluntary benefits, including discounts and cycle to work scheme

If you are interested in working for Triodos and believe you are suitable for the role please apply below.

Triodos is a Living Wage employer and embraces flexibility and diversity in the workplace. Should you wish to discuss flexibility with us, please do inform us in your application.

Please note, Triodos Bank reserves the right to bring forward the closing date of any of its job vacancies if we receive a suitable number of high-quality applications from which to make a shortlist. Therefore, we recommend that you apply for one of our roles as soon as possible rather than wait until the published closing date.

  • Placed on:Mon 2 September 2019
  • Location: Bristol

Triodos UK

Deanery Road
BS1 5AS Bristol
United Kingdom

  • Tel: 0117 980 9733

Interested?

For more information:
Call MATT HINKS
at the number: 0117 311 0221
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