Regulatory Compliance Manager

New Yesterday

Compliance Manager
International Bank based in London
Permanent position
Hybrid working on offer
Salary £85k basic plus excellent benefits
The Compliance team is primarily responsible for regulatory compliance, operational and legal risk coverage to support the Private, Priority and Corporate and Institutional Banking business in London. There will also be times when the employee may need to liaise with Group Head Office on Operational Risk and Audit matters.
As Compliance Manager, the incumbent’s core responsibilities will be:
Provide day to day support to the London Business on all regulatory matters
Full management of the SMCR framework
Assisting in Training the London Branch on regulatory changes
Executing regulatory reporting as and when required
Other responsibilities will include;
Updating SMCR procedures both certified staff and SMF’s
Chairperson for the SMCR and Conduct Rule Breach committee, booking in regular SMCR meetings, preparing the agenda, tracking the agenda and minuting the meetings
Launching annual reviews for both certified staff and SMF’s and liaising with Line Managers to ensure that deadlines are met
Ensuring forms are completed correctly including competency assessment forms and fit and proper declarations
Liaising with HR to ensure regulated screening is completed in relation to annual reviews and that regulatory references are obtained
Advising HR when changes are needed in relation to job descriptions
Advising HR when new contracts of employment are required in line with SMCR changes
Investigating and responding to Regulatory authorities and FCA enquiries as instructed
Investigating and responding to internal enquiries relating to potential compliance risks/breaches
Reporting the relevant indicators for any incidents handled by the team to the relevant stakeholders
Managing the roll out of regulatory training
Monitoring UK regulatory developments and assessing the impact on the London Branch
Assisting with all reporting for management and EXCO reporting
Maintain and execute the risk-based Compliance/Financial crime monitoring programme
Assisting with Regulatory projects
Maintaining the Compliance Policy & Handbook and providing support on new and existing policies
General day-to-day support to the Head of Compliance
Overseeing Regulatory reporting
To be considered for this position, ideal candidates must have the following experience and skills;
At least 8 years’ experience in a similar environment
Technically proficient in SMCR regulations
A legal or compliance/financial crime or regulatory background, preferably within the financial services industry
Strong knowledge of Regulatory changes affecting Financial Services
Ability to translate regulatory to adapt to the business
Good working knowledge of Financial Crime topics particularly in areas surrounding CDD/KYC/Sanctions/Transaction monitoring etc.
Strong analytical skills with good attention to detail
Strong verbal and written communication skills
A proactive approach to tasks and responsibilities
Able to work under pressure and within tight deadlines
A professional with a business attitude in the workplace
Action-oriented with a strong focus on completing tasks with accuracy and efficiency while working independently and with minimum direction
Apply
Location:
London

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