Accessability Links

Senior Compliance Manger - Banking

  • Location: London
  • Sector: Compliance
  • Salary: Up to £80000 per annum
  • Job type: Permanent
  • Date posted: 09/10/2018
  • Job reference: 31364

This varied role will report into the Head of Compliance and will support this person in the developement and operation of the regulatory complinace function and regulatory standards , the project management of regulatory developments and the development of team members

  • Provide regulatory advice and guidance in relation to internal compliance and external regulatory requirements and, in liaison with the Financial Crime Manager, provide input into financial crime policies as necessary.
  • To assist with the development and implementation of robust compliance policies and procedures.
  • Support the development and execution of an approved annual Compliance Plan.
  • Continually develop the Bank's programme of Compliance Monitoring following identification of key priorities and material risks including all branches and representative offices.
  • Compliance training including employee induction, refresher training on key regulatory topics, specialist and focused training
  • Proactively develop and keep updated on regulations and regulatory changes as well as industry best practice with particular focus on Business Conduct and Financial Crime Risk.
  • Identification of key regulatory changes and notification to relevant departments and areas to ensure ongoing compliance.
  • Undertake ad-hoc compliance investigations when required - e.g. gap analyses and impact assessments
  • Actively participate in relevant projects representing Compliance
  • Management of part of the team, including defining jobs and responsibilities, planning for the department's future needs and operations, performance management, coaching..
  • Support compliance and local staff in branches and representative offices in the satisfaction of compliance and regulatory requirements.
  • Promote a bank wide 'culture' of Compliance centered on awareness and understanding of Compliance risks and responsibilities consistent with expectations of the Board and regulatory authorities.
  • Provide feedback on the behaviour of relevant staff including their compliance with and understanding of their regulatory responsibilities.
  • Act as a role model for business values and leadership behaviours.
  • Support the Head of Compliance with managing relations and effective communication with relevant senior management and regulatory authorities, including PRA and FCA

Who we work with

Other Clients