Senior Compliance Manager
2 weeks ago
Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance.
THE RESPONSIBILITIES:
- Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact assessments.
- This includes horizon scanning activities in relation to new or existing regulation and reporting through to internal Committees for the purposes of oversight.
- Support the business through the provision of timely and outcomes-focussed regulatory advice and guidance, as part of project and change programmes and resolving ad hoc queries which arise from time to time.
- Assist on compliance monitoring reviews as assigned by the Head of Compliance, covering the Bank’s regulated activities. This includes preparing terms of reference, testing the design and operational effectiveness of regulatory controls, report writing, agreeing findings with key stakeholders and tracking all issues and remediation through to closure.
- Assist in the Implementation of the Bank’s Compliance Monitoring framework, processes and procedures in line with industry and regulatory standards and the Bank’s risk appetite. Where required, aid in reviewing and updating compliance monitoring procedures to drive continuous improvement.
- Influence and guide internal stakeholders to ensure the successful implementation of the compliance monitoring framework and the resolution of issues/actions.
- Support in evaluating the ongoing effectiveness of the Compliance Risk Universe.
- Collate all required compliance Management Information (MI) relating to monitoring and regulation and analyse trends and issues to provide information and assurance to key internal governance forums.
- Assist the Head of Compliance in managing Data Protection Compliance, including where applicable, the use of third party vendor.
- Proactively develop own knowledge of regulatory compliance and share best practice with members of the wider Risk Teams and across the bank as appropriate.
- Review & sign off literature and other marketing materials in line with the FCA Financial Promotions rules and other associated guidance.
- Oversee the timely and effective resolution of regulatory incidents.
- Develop new compliance policies and procedures when required.
- Work with Business stakeholders to ensure the timely submission of regulatory reports.
- Provide regulatory training to internal stakeholders.
- Deputise for the Head of Compliance on request and during periods of absence.
- Assist the Head of Compliance in the running of the Compliance Department and in promoting and maintaining a Compliance focused culture across the Bank.
- Attendance or Delegation for the Head of Compliance at relevant committees as and when required.
EXPERIENCE REQUIRED:
- Demonstrable experience in a Compliance or Audit related role within financial services, ideally within a Banking environment.
- In depth regulatory knowledge of FCA and PRA regulations affecting the Bank
- Excellent oral, written communication and organisational skills as well as the ability to present confidently and work effectively with staff and management at all levels
- Ability to investigate, analyse and interpret MI and to create and maintain committee packs.
- Understanding of Islamic Finance (Desirable)
For further information please contact Marcus Courtney
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