Banking Compliance Risk

1 week ago

City Of London, United Kingdom Barbara Houghton Associates Limited Full time

Banking Compliance Risk & Assurance Manager Our client is looking for a Banking Compliance Risk & Assurance Manager to join their small team on a permanent basis. This position is full‑time in office, 5 days per week. The successful candidate will be responsible for ensuring the compliance monitoring and assurance activities and the business‑wide risk assessments (Financial Crime, Compliance and Conduct) are carried out. The role also includes risk assessment, monitoring, testing, and review activities as required under the Compliance Monitoring and Assurance Programme (CMAP) and assisting with the annual CMAP planning. Key Responsibilities Direct contribution to completion of the annual Financial Crime Business‑wide Risk Assessment and Compliance and Conduct Risk Assessment process, and identify and implement appropriate controls to detect, prevent and mitigate identified risks. Carry out the written annual plan and lead the CMAP, ensuring the programme is executed on schedule; if the schedule needs changing, work with relevant personnel to agree any change. Participate in the timely execution of the CMAP plan, including thematic reviews of Anti‑Bribery and Corruption, testing critical aspects of Market Abuse controls for reasonableness (Voice Recording), Gifts & Entertainment testing, Bloomberg Vault monitoring, FSCS eligible client classification and providing concise, timely and accurate written reports highlighting issues and recommendations for improvement/remediation actions. Develop and maintain good relationships with both the 1LOD and 3LOD to ensure that CMAP findings are communicated and remediated in a timely manner. Participate in maintaining the risk assessment and CMAP methodologies to keep them in line with industry best practice. Lead production and review of Management Information from the Risk Assessment and CMAP activities. Attend the Compliance Forum and present CMAP and risk assessment reports and findings to the committee, when required. Participate in the Compliance Department’s input into the Operational Risk RCSA process. Assist with implementing enhancements to Compliance and Financial Crime systems and controls. Skills, Experience and Qualifications Bachelor’s degree or higher required; recognised industry qualification (e.g., ACAMS, ICA Diploma) highly desirable. Good experience participating in 2LoD Assurance & Testing in a wholesale banking environment. Good knowledge of relevant FCA & PRA Rules, guidance, enforcement actions and relevant UK AML Regulations, Sanctions Regime, Fraud and Bribery Act. Attention to detail with a strong analytical and problem‑solving mindset. Applicants must have at least 3 years of experience in a UK bank. Sponsorship will not be available for this position; therefore, 3+ years on visa eligibility to work in the UK is essential. For more information on this role please contact Judith Webb by sending your CV to judith@bhal.co.uk and quoting ref 1691. Location: London, England, United Kingdom. #J-18808-Ljbffr

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