Compliance Manager

4 weeks ago


London, Greater London, United Kingdom Compliance Professionals Full time

About the Role

We are seeking a highly experienced Compliance Manager to join our team at Compliance Professionals.

The successful candidate will have extensive experience of working in a financial services industry Compliance Department covering private banking/wealth management activities.

Key responsibilities will include:

  1. Assisting with ensuring compliance related directives, policies & procedures remain up to date
  2. Interpreting rules and assisting in development of a positive compliance culture
  3. Maintaining standards of regulatory risk management
  4. Approving new financial promotions
  5. Owning the complaints handling process
  6. Leading investigations into breaches
  7. Oversight of and involvement in testing reviews, involving horizon scanning and gap analysis vs regulatory requirements
  8. Completion of tests and drafting of results and review write ups
  9. Managing multiple simultaneous reviews where required
  10. Monitoring, testing and assessing the adequacy and effectiveness of measures and compliance procedures
  11. Ensuring the Head of Monitoring & Testing is regularly advised regarding the results of monitoring and testing
  12. Investigating and reporting upon breaches of regulations and assisting with remedial action

Requirements

Extensive experience of working in a financial services industry Compliance Department covering private banking/wealth management activities

Experience of producing compliance risk assessments and monitoring plans

Proven track record of report writing on the results of compliance monitoring and testing



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