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Compliance Risk Manager

2 months ago

London, Greater London, United Kingdom Compliance Professionals Full time
Compliance Monitoring Manager

Our client, a leading international banking organization, is seeking a highly skilled Compliance Monitoring Manager to join their London branch. The successful candidate will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong risk management culture.

Key Responsibilities:
  • Assist in the development and implementation of regulatory compliance policies and procedures to minimize regulatory risk.
  • Support business relationships through positive engagement and proactive identification of regulatory risk, working closely with management and staff to establish and maintain effective systems and controls.
  • Undertake horizon scanning of compliance regulation and regulatory change, including preparation of gap/impact analysis.
  • Advise staff on matters of regulatory compliance, including best practice and intended outcomes.
  • Develop and implement compliance monitoring activity to test the efficiency and effectiveness of the regulatory compliance framework and Bank adherence to regulatory requirements.
  • Support the development and timely provision of internal/external regulatory reports and related MI.
  • Undertake compliance risk assessments for new products and system developments.
  • Support the delivery of regulatory training, including maintaining training records and attestations.
  • Support internal/external compliance audit activity and remedial efforts.
  • Undertake and/or assist with ad-hoc regulatory compliance-related projects, including investigative and thematic work.
Requirements:
  • Banking experience and product knowledge.
  • Open and timely escalation and reporting of risk and control issues.
  • Proactive management of performance and targets.
  • Experience of compliance with Human Resource policies and procedures, including appraisal obligations.
  • Experience of compliance with compliance policies and procedures, including Conduct Rules and related obligations.