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Compliance Manager
1 month ago
THE COMPANY:
We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services.
THE RESPONSIBILITIES:
- Carry out regulatory and various other legal compliance (including AML, ABC, anti-fraud, DPA) advisory, monitoring and ad hoc activities, in particular, by completing delegated tasks by the Head of Compliance.
- Summarising regulatory publications and legal requirements and their impact on the business, circulating them as appropriate and agreeing action to be taken to address them.
- Preparing guidance and training on new and existing regulatory and certain legal requirements (and on any remedial action to address identified existing shortcomings) to business units. Tasks include drafting of new policies, and reviewing and updating all existing policies for Board approval, drafting or approving departmental procedures and documentation templates (including Key Facts and client agreements and notices) and delivering or approving training.
- Investigating and drafting responses to complaints.
- Responding to ad hoc requests for advice and assistance.
- Reviewing and reporting on adherence to regulatory and legal requirements in accordance with the annual Compliance Monitoring Programme or as other risk based monitoring requirements are identified.
- Maintaining records of regulatory change and compliance department recommendations for changes to existing policy or procedures, including action being taken and confirming completion of that action.
- Drafting regular reports for management, including the Operational Risk, Management and Audit & Compliance Committees and Group Compliance.
- Preparing or reviewing regulatory periodic or ad hoc returns, (especially fee data, CMAR, controllers, close links, complaints, RDR & MMR) including assistance with thematic review responses.
- Advising and liaising with operational departments to implement changes in operational processes arising from new regulations, business developments, and compliance review findings.
EXPERIENCE REQUIRED:
- A total of 3+ years’ professional experience within Compliance is required.
- Strong background in corporate banking
- Desirable background in legal or compliance or auditing
For further information, please contact Marcus Courtney
