Our Client, a West End based Bank is looking to hire a Compliance Manager who needs to provide effective compliance monitoring and advice to the business as part of the second line of defence for the bank. This role reports directly to the Head of Compliance.
Main Duties and Responsibilities:
- Design and implement a compliance monitoring plan with the Head of Compliance
- Carry out compliance monitoring in line with the plan
- Liaise with counterparties (if required) to obtain the required documentation
- Support the Head of Compliance in providing advice to the business
- Log updates in various registers (e.g. breach Log, regulatory communications. Gifts and benefits, training).
- Carry out other ad-hoc projects and reviews under the direction of the Head of Compliance
- Ensure that you comply with all Bank policies and procedures
- Ensure that customers are treated fairly at all times (internal and external)
- Key Compliance contact for key outsourcing relationships.
- Assist the head of compliance in maintain policies to expected standards
The job holder would liaise with:
- Money Laundering Reporting Officer (MLRO)
- Risk and Compliance Team
- Other departments within the Bank
- Third party companies
- Customers and Group Companies
- Excel (intermediate essential)
- Word (report-writing essential)
- PowerPoint (desirable)
- Banking software - Olympic (desirable, other banking software would be useful if not Olympic)
- Dow Jones - AML / Sanctions software (desirable)
- SharePoint (desirable)
- Ideally minimum 5 years banking experience either in internal audit, compliance or a regulatory environment
- Strong knowledge of FCA and PRA regulation (SYSC, BCOBS, SUP, PRIN etc)
- Has an awareness or understanding of AML and compliance, qualifications desirable but not essential
- Strong communication and interpersonal skills
- Good report writing skills and attention to detail
- Able to demonstrate learning agility.
- Excellent organisational ability - able to manage work and meet deadlines
- Able to work independently or in a team environment
- A can do attitude