Associate / Assistant Vice President, Corporate Compliance

Overview

Lloyds Overview:

Lloyds Bank Corporate Markets, plc (“LBCM”) forms an integral part of Lloyds Banking Group, a UK-focused retail and commercial bank with more than 30 million customers globally. We have been operating in North America for over 100 years, providing a client-focused approach for global businesses with strong links to the UK. Our New York operations provides a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance and a range of debt capital and financial markets services through our US broker dealer, Lloyds Securities Inc.

Lloyds Bank is committed to attracting, retaining and developing the best talent in the industry and embracing the diversity of our people. We offer our colleagues ongoing training, development, mentoring and networking opportunities, as well as competitive benefits and vacation leave. We are dedicated to working with our community and offer a range of volunteering and fundraising activities throughout the year.

Diversity and inclusion are a part of who we are at Lloyds Bank. Lloyds North America strives to create a culture where every individual feels included, and empowered to be their best. Providing equal employment opportunities to all applicants and employees without regard to race, color, religion, creed, gender, gender identity or expression, age, national origin or ancestry, citizenship, disability, sexual orientation, marital status, pregnancy, veteran status, membership in the uniformed services, genetic information, or any other class protected by applicable law.

Lloyds values diversity in all backgrounds and experiences and wants their employees to bring their “whole self” to work!

Reasonable Accommodations for Qualified Individuals with Disabilities During the Application Process

Lloyds North America is committed to providing reasonable accommodations for qualified individuals with disabilities in our job application process. If you have a disability and require a reasonable accommodation in order to participate in the application process, please contact our Human Resources Dept at: [email protected]

Role Overview

The Corporate Compliance Officer is responsible for the day-to-day administration of the Corporate Compliance Program, which include both bank and broker-dealer compliance and regulatory responsibilities.

Responsibilities

Key Tasks and Responsibilities of the role include, but are not limited to:

Assist in the implementation of the Corporate Compliance Program.

• Contribute to review, revise, and update Corporate Compliance policies, programs, and procedures to ensure compliance with applicable regulations and group policy requirements.
• Assist with Corporate Compliance risk assessments, gap analyses, and program reviews to ensure a robust control environment.
• Draft compliance communications/reminders for the Business.
• Prepare monthly governance reporting and compile committee packs.
• Collect and maintain KRIs/conduct metrics.
• Assist with regulatory exams, inquiries, and investigations.
• Perform horizon scanning and monitor regulatory change.
• Review client transactions and colleague travel for cross border compliance requirements.
• Monitor and review conflicts of interest and anti-bribery disclosures including charitable donations, event sponsorship, and gifts & entertainment.
• Assist in the investigation of complaints and colleague infractions, including breaches of policies and procedures.
• Conduct email surveillance.
• Assist with the implementation and monitoring of the compliance training program including performing training reviews/edits and testing.
• Support Group-wide Compliance initiatives.

Qualifications

Education and Experience Required:

• Minimum of 3 years experience with Commercial Banking business and knowledge of relevant banking regulations desired
• Experience developing and implementing corporate compliance policies and procedures
• Bachelors degree required

Key Skills And Knowledge Required

• Initiative and sound judgment
• The ability to multi-task and prioritize conflicting demands
• Strong interpersonal skills to build partnerships with all colleagues within and outside of Compliance Department
• Good oral and written communication skills
• Proven analytical ability and attention to detail
• Experience using Microsoft Office including Excel and PowerPoint

Salary Range: $125,000 - $150,000