Senior Compliance Manager

3 weeks ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY:

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)
  • Compliance or Audit qualifications (Desirable)

  • Senior Compliance Monitoring

    1 day ago

    London, United Kingdom Compliance Professionals Full time

    We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy. Promote a strong...

  • Senior Compliance Monitoring

    18 hours ago

    London, United Kingdom Compliance Professionals Full time

    We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy. Promote a strong...

  • Senior Compliance Manager

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    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...

  • Senior Compliance Manager

    6 days ago

    London, United Kingdom Compliance Professionals Full time

    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...

  • Senior Compliance Monitoring Manager

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    We are working exclusively with an International Wholesale Bank located in the City of London, who are looking for a Compliance Manager to join the team. Report to the Chief Compliance Officer, covering all aspects of compliance, specialising in customer due diligence and anti-money laundering. Review due diligence in respect of customers at take-on,...

  • Compliance Manager/Senior Manager

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. 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. Support the...

  • Compliance Manager/Senior Manager

    6 days ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. 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. Support the...

  • Senior Compliance Analyst

    6 days ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a leading international law and professional services firm providing legal, corporate and fiduciary services to their wide range of clients. THE RESPONSIBILITIES: Be responsible for reviewing the due diligence of existing entities/clients and where appropriate, re-identifying their ownership and control to assess AML/CTF and sanctions risks...

  • Senior Compliance Analyst

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a leading international law and professional services firm providing legal, corporate and fiduciary services to their wide range of clients. THE RESPONSIBILITIES: Be responsible for reviewing the due diligence of existing entities/clients and where appropriate, re-identifying their ownership and control to assess AML/CTF and sanctions risks...

  • Compliance Officer

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global banking group offering commercial and retail banking, investment banking, and asset and wealth managements services. **THE RESPONSIBILITIES**: - Producing draft of policy documentation. - Conduct Risk and Compliance assessment, monitoring and reporting raising concerns. - Managing and keeping updated, the departments...

  • Senior Compliance Manager

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: 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...

  • Compliance Manager

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working exclusively with an International Wholesale Bank located in the City of London, who are looking for a Compliance Manager to join the team. THE RESPONSIBILITIES: Report to the Chief Compliance Officer, covering all aspects of compliance, specialising in customer due diligence and anti-money laundering. Review due...

  • Senior Compliance Officer

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business. Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development of new compliance standards. Serve as an advisor to the business, and interfaces regularly with business...

  • Regulatory Compliance and Legal

    18 hours ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and...

  • Compliance Manager/Senior Manager

    1 week ago

    London, United Kingdom Hays Senior Finance Full time

    This technology business has become one of the largest online marketplaces via their commitment to making the purchase and sales of automotive vehicles effortless and fun. Although they are now one of the largest companies in the space they have no sign of slowing down as they have recently seen investment from respected business within similar sectors. ...

  • Head of Compliance

    4 hours ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Making sure you fit the guidelines as an applicant for this role is essential, please read the below carefully.We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services.THE RESPONSIBILITIES:Lead...

  • Senior Risk

    1 month ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...

  • Senior Risk

    1 month ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Our client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...

  • Head of Compliance

    1 day ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. THE RESPONSIBILITIES: Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and...

  • Head of Compliance

    18 hours ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. THE RESPONSIBILITIES: Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and...