Overview
Up to £80,000 per annum plus excellent bonus and benefits
12 Month Fixed Term Contract – Maternity Cover
Hybrid working (4 days in the office, 1 day WFH)
We are recruiting on behalf of a leading international bank seeking an experienced Compliance Advisory Manager to provide maternity cover within their UK Compliance function. Reporting directly to the Head of Compliance Oversight (SMF16), you will help ensure the bank operates in full adherence to all relevant laws, regulations and internal policies, providing expert advice and guidance to business units on compliance, conduct and regulatory change. You will play a key role in supporting the delivery of the annual Compliance plan, overseeing regulatory reporting to the FCA and PRA, and fostering a strong, ethical compliance culture across the organisation.
Candidates MUST have direct banking experience
Responsibilities
- Advisory Support: Act as a focal point for the business, providing conduct and compliance advice across new and existing regulatory projects and day-to-day queries.
- Regulatory Change: Conduct horizon scanning to identify regulatory changes impacting the Bank, carry out gap analysis, and provide specialist advice to business units, senior management, committees and working groups.
- Regulatory Reporting: Oversee the end-to-end regulatory reporting process to the FCA and PRA, maintaining robust governance and validation controls to minimise risk.
- Policies & Procedures: Draft, review and support the implementation of compliance-related policies and procedures, ensuring all scheduled reviews are completed within deadline.
- Financial Promotions: Review financial promotions and marketing materials to ensure ongoing compliance with regulatory requirements.
- Monitoring & Reporting: Facilitate and perform monitoring, testing, analysis and investigation to identify, report and remediate compliance and data protection risks, and manage departmental Management Information.
- Stakeholder Engagement: Build strong relationships with the business and key stakeholders, liaise with Head Office Compliance, and assist in responding to queries raised by UK regulators and Senior Management.
- Training & Communications: Develop and deliver staff training across a range of compliance topics and help produce the monthly Compliance Newsletter, keeping staff and Senior Management updated on regulatory change.
- Cross-Border Support: Support cross-border business activities, including compliance requirements relating to data and Artificial Intelligence (AI), and assist with oversight of compliance standards in the UK and internationally.
- Risk & Compliance: Comply with all applicable regulations, rules, codes and standards, and adhere to established risk control guidelines to identify, assess, report, mitigate and monitor risk.
Requirements
- Candidates must have direct banking experience
- At least 5 years’ experience within a Compliance function in financial services, with UK retail and corporate banking experience.
- Enhanced understanding and working knowledge of the UK regulatory environment (FCA, PRA, etc.), with the ability to interpret regulations and analyse their relevance to the Bank.
- Proven experience of drafting, reviewing and assisting the business in implementing policies and procedures.
- Strong understanding of regulatory requirements relating to complaints handling (FOS) and governance, risk & compliance.
- Ability to collate information and draft reports for senior management, maintain logs / Management Information, and interpret data for regulatory and internal reporting.
- An industry-recognised professional compliance qualification.
- Desirable: compliance experience within an international retail and corporate bank branch in the UK (i.e. banks headquartered overseas operating via UK branches), compliance monitoring experience, exposure to a Group / Global Head Office environment, good presentation skills and AI knowledge.
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