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Job Specification

SENIOR COMPLIANCE MANAGER (SVP LEVEL) – COMMERCIAL BANKING COMPLIANCE ADVISORY & GOOD STAFF MANAGEMENT EXPERIENCE REQUIRED

£ Generous + Good Benefits | City
Ref: 3733D

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our client, an expanding International Banking Group, seeks an experienced staff manager to fill a newly created role managing all of the Compliance functions. Reporting to the Head of Legal & Compliance and managing three direct reports (and up to 15 indirect), duties will include; 

· Provide people and technical leadership across Core Compliance, Compliance Advisory, and Compliance Monitoring.

· Ensure the tasks are allocated and undertaken accurately and in a timely manner by relevant staff, including the team leaders

· Provide strong leadership in the planning, scheduling and the output of risk-based compliance monitoring reviews appropriate to the risk-assessment of the business proposition and current regulatory & industry thinking. 

· Ensure business knowledge, processes and controls are accurately and proportionately assessed against regulatory and internal compliance standards.

· Develop and maintain a risk-based approach to planning and scoping activities to be undertaken to ensure there is adequate oversight of the compliance risks across both regulated entities.

· Take responsibility for the design and implementation of compliance policies and procedures as required in order to meet the requirements of new/updated regulations/legislation and embed these within the Bank;

· Act as the Bank’s subject matter expert in relation to compliance matters;

· Respond to requests for advice from business units, support departments and branch offices and provide the appropriate level of support to resolve the matter being referred;

· Represent the Legal and Compliance Department during meetings for project and product launches and provide support & guidance in relation to possible solutions;

· Take the lead in Compliance related projects;

 

You should have proven staff management experience in compliance (at least of teams of five or more) and a good knowledge of compliance requirements as they apply to commercial, retail & wholesale banking, whether gained in a similar inhouse advisory/policy/technical or broad role, a consultancy or the Regulator. This must have included previous experience of assessing and implementing regulatory change as well as advising generally on Compliance requirements  (not Financial Crime, as that is a separate department) . Please ensure your cv includes details of the number of staff managed (and when) and the types of banking activities covered.  

 

For further information or a confidential no obligation discussion, please feel free to call our MD,  David Symes FCA on 020 7330 6966 or send your details to him at david@compliancerecruitment.com       

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