Senior Compliance Manger - Banking - City, London, United Kingdom, EC1A2
This varied role will report into the Head of Compliance and will support this person in the developement and operation of the regulatory complinace function and regulatory standards , the project management of regulatory developments and the development of team members
- Provide regulatory advice and guidance in relation to internal compliance and external regulatory requirements and, in liaison with the Financial Crime Manager, provide input into financial crime policies as necessary.
- To assist with the development and implementation of robust compliance policies and procedures.
- Support the development and execution of an approved annual Compliance Plan.
- Continually develop the Bank's programme of Compliance Monitoring following identification of key priorities and material risks including all branches and representative offices.
- Compliance training including employee induction, refresher training on key regulatory topics, specialist and focused training
- Proactively develop and keep updated on regulations and regulatory changes as well as industry best practice with particular focus on Business Conduct and Financial Crime Risk.
- Identification of key regulatory changes and notification to relevant departments and areas to ensure ongoing compliance.
- Undertake ad-hoc compliance investigations when required - e.g. gap analyses and impact assessments
- Actively participate in relevant projects representing Compliance
- Management of part of the team, including defining jobs and responsibilities, planning for the department's future needs and operations, performance management, coaching..
- Support compliance and local staff in branches and representative offices in the satisfaction of compliance and regulatory requirements.
- Promote a bank wide 'culture' of Compliance centered on awareness and understanding of Compliance risks and responsibilities consistent with expectations of the Board and regulatory authorities.
- Provide feedback on the behaviour of relevant staff including their compliance with and understanding of their regulatory responsibilities.
- Act as a role model for business values and leadership behaviours.
- Support the Head of Compliance with managing relations and effective communication with relevant senior management and regulatory authorities, including PRA and FCA