Compliance Manager

THE COMPANY:

Our client is an international banking organization, looking to hire a Compliance Manager for their London branch. The firm mainly specializes in Personal and Corporate Banking.

THE RESPONSIBILITIES:

• Assist with the building, design and update of regulatory compliance policies and procedures to minimise regulatory risk.
• Support business relationships through positive engagement and the proactive identification of regulatory risk and work with management and staff to establish and maintain effective and efficient systems and controls.
• Undertake horizon scanning of compliance regulation and regulatory change, including preparation of gap/impact analysis.
• Advise staff on matters of regulatory compliance, including issues of best practice and intended outcomes.
• Develop and implement compliance monitoring activity to test the efficiency and effectiveness of the regulatory compliance framework and Bank adherence to regulatory requirements.
• Support development and timely provision of internal/external regulatory reports and related MI.
• Undertake compliance risk assessments for new products and system developments.
• Support the delivery of regulatory training, including maintaining training records and attestations.
• Support internal/external compliance audit activity and remedial efforts.
• Undertake and or assist with ad-hoc regulatory compliance related projects, including investigative and thematic work.
• Undertake any other regulatory compliance duties that may be required from time to time.
• Attend relevant seminars, training and educational programmes.

EXPERIENCE REQUIRED:

• Banking experience and product knowledge
• Development of appropriate control and reporting structures, including that of segregation and resilience
• Open and timely escalation and reporting of risk and control issues
• Proactive management of performance and targets
• Experience of compliance with Human Resource policies and procedures, including appraisal obligations
• Experience of compliance with compliance policies and procedures, including that of Conduct Rules and related obligations
• Maintain a professional approach to all aspects of work including that of relationships with colleagues and internal / external stakeholders

For further information please contact Marcus Courtney