Senior Compliance Officer

Title:

Senior Compliance Manager

Rate:

£700 per day

Company:

- Banking - corporate

Type:

Contract

The
SENIOR COMPLIANCE MANAGER
will handle a diverse array of compliance and risk matters assisting the Senior Director of Compliance and Regulatory Relations (the “Senior Director”) for the banks Financial Group’s UK operations. This will includeassisting with all UK regulations and relevant US regulations and providing advice and guidance to the business under the direction of the Senior Director. The individual will have a direct report who oversights the front to back office trading activitiesof the bank.

In this role the Senior Manager will be responsible for a wide range of compliance, including providing advice guidance and support and effective oversight and challenge of 1st line of defence stakeholders. They will be expected to assist on projects wherecompliance input is required, helpthe business design and implement controls and provide advice and guidance on a diverse array of areas. Monitoring and testing activities and financial crime matters are outside the scope of this role.

RESPONSIBILITIES WILL INCLUDE:
Line management of one direct report

Analysing new and amended regulations and providing documented SME advise and effective challenge

Analysing and presenting information on complex regulatory requirements with recommendations which are clearly thought out and appropriate based on the scale and risk to our business

Acting as a representative for compliance on UK and enterprise-wide projects working in close partnership with cross-functional teams

SKILLS AND REQUIREMENTS

A degree or equivalent work experience is required

Experience managing a team

Experience of building compliance frameworks

Ability to translate complex regulatory requirements into concise and simple terms

Ability to present at a Senior Level

Relevant regulatory experience and from a Tier1/2 bank. Subject Matter Expertise in the following areas from a compliance perspective would be a strong advantage

PRA Rulebook (CRR) -knowledge of CRR2 and Basel 3.1

FCA Handbook

Client Classifications across a dual regulated entity

Regulatory Reporting (PRA/BOE)

UK MiFID & UK/EU EMIR

The individual must demonstrate sound judgment and strong critical thinking skills. The individual should be able to grasp difficult concepts quickly and translate these into actionable recommendations and solutions.

The individual must work proactively to establish close ties with others in the organization, work effectively with others to achieve the company’s business objectives, be willing to be held accountable to others - both horizontally and vertically.

The individual must have excellent communication and presentation abilities, including strong written and verbal skills and the ability to explain issues and decision as well as strategy both internally and externally. The individual must be an excellentlistener, who works to understand the needs of others.

The individual should have an entrepreneurial, collaborative approach and a flexible style that allows for the input of others. The individual must share the following core values of the bank:
An emphasis on achieving the organisation’s goals, versus individual achievement;
An “enterprising” approach with creative problem solving; and

A focused and results driven mindset.

THE IDEAL CANDIDATE
- This role requires the ability to quickly adapt to change and to multi-task while effectively managing your time.
- They should possess a strong sense of urgency, be able to think beyond the initial set of facts or issues and have a strong orientation for probing for less than apparent solutions.
- The individual should have a strong sense of ethics, sound business judgment and the desire to be a business-orientated problem solver.
- They must have excellent regulatory compliance skills, including analytical, issue spotting and resolution and written/verbal communication skills, and should be flexible and willing to handle a variety of compliance issues.