Compliance Manager/Senior Manager

2 weeks ago

United Kingdom Waterhouse-Kern Associates Full time

Waterhouse-Kern Associates are delighted to be working with the UK Branch of an Overseas Bank to find a Compliance Manager. This will be a hybrid role.
About the Role:
As a Compliance Manager, you will play a crucial role in shaping the compliance landscape for the Bank in the UK. Reporting directly to the Head of Compliance, you will work closely with AML/Fraud and Compliance Monitoring teams to develop and implement a robust compliance agenda. Your expertise will be pivotal in guiding the business through regulatory changes, ensuring compliance with UK industry standards, and embedding a strong compliance culture across the organisation.

Key Responsibilities:
Lead regulatory horizon scanning and provide risk-based analysis to guide the bank's strategic decisions.
Drive regulatory change projects and deliver clear progress reporting to senior management.
Champion the bank’s approach to Consumer Duty, providing constructive challenge and ensuring compliance.
Coordinate compliance activities and ensure clear communication of compliance objectives across the organization.
Provide day-to-day compliance guidance to business units, develop relevant UK policies, and maintain compliance frameworks.

What We’re Looking For:
Extensive 2nd Line of Defense experience in retail and/or corporate banking compliance, with a deep understanding of relevant FCA and PRA rules.
Strong background in policy and procedure writing, with a focus on best practice compliance and risk management frameworks.
Experience in a challenger or start-up environment is preferred, with a proven ability to deliver clear, technology-driven reporting.
Expertise in payment services, merchant acquiring, commercial lending, retail deposit-taking, and consumer lending.
A proactive approach to developing compliance systems, fostering a culture of compliance, and providing constructive solutions to emerging issues.

Key relevant business/regulation:
Payment Services, especially banking as a service business models.
Merchant Acquiring and card issuing, including payment scheme rules.
Provision of safeguarding accounts.
Commercial lending, including unregulated secured loans via broker distribution.
Retail deposit-taking, including via deposit aggregators and depositor protection rules.
Consumer lending.
Conduct risk and emerging knowledge of consumer duty.

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