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Senior Compliance Manger - Banking

  • Location: City of London, London
  • Sector: Compliance
  • Salary: £70000 - £75000 per annum
  • Job type: Permanent
  • Date posted: 14/11/2018
  • Job reference: LH1
This vacancy has now expired.


To assist the Head of Compliance to ensure that the Bank meets all necessary regulatory requirements in a timely manner

To assist the Head of Compliance to ensure that the Bank meets its commitments in respect of its Anti Money Laundering obligations.

To assist in the formulation of and carrying on of the Branch's compliance monitoring programme, to promote the Branch and maintain the compliance framework.

To jointly act as point of contact and liaison with PRA and FCA for the regulatory matters in the absence of the Head of Compliance.


To develop and review policies and procedures and ensuring they remain compliant with regulations

Provide compliance approvals within the department as and when required

Overseeing the day to day operation of the Compliance department

Assist in developing and implementing the Compliance Monitoring Programme, concentrating on Conflicts of Interest and Market Abuse

Carry out monitoring tasks as assigned by the Head of Department

Sign off on all monitoring test sheets within the compliance department

Ensuring compliance issues are resolved in a timely manner and appropriate processes are developed accordingly if necessary

To investigate, advise and resolve ad hoc queries from all business areas when required such as Syndicated Lending and MiFID II

Provide assistance to Head of Department in strategic planning for the compliance function to become an integral part of the branch

To carry out such other duties at the request of the Head of Department

Providing assistance to the MLRO in performing its responsibilities.


Extensive experience - Strong relevant experience in Compliance roles gained at financial services firms

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