Compliance Manager

Competitive | London | Permanent


Posted 11 days ago


We have a fantastic opportunity for a Compliance Manager to join one of our key banking clients.

The Compliance Manager role supports the Head of Compliance (SMF16) in providing a proactive and timely delivery of compliance activities across the Bank, including the provision of regulatory advice, monitoring, reporting, training, and other compliance outputs as required.

Key responsibilities:

  • Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact assessments. This includes horizon scanning activities in relation to new or existing regulation and reporting through to internal Committees for the purposes of oversight.
  • Support the business through the provision of timely and outcomes-focussed regulatory advice and guidance, as part of project and change programmes and resolving ad hoc queries which arise from time to time.
  • Lead on compliance monitoring reviews as assigned by the Head of Compliance, covering the Bank's regulated activities. This includes preparing terms of reference, testing the design and operational effectiveness of regulatory controls, report writing, agreeing findings with key stakeholders, and tracking all issues and remediation through to closure.
  • Implement the Bank's Compliance Monitoring framework, processes, and procedures in line with industry and regulatory standards and the Bank's risk appetite. Where required, aid in reviewing and updating compliance monitoring procedures to drive continuous improvement.
  • Influence and guide internal stakeholders to ensure the successful implementation of the compliance monitoring framework and the resolution of issues/actions.
  • Support in evaluating the ongoing effectiveness of the Compliance Risk Universe.

Essential competencies:

  • Demonstrable experience in a Compliance or Audit related role within financial services
  • In depth regulatory knowledge of FCA and PRA regulation affecting the Bank
  • Excellent oral, written communication and organisational skills as well as the ability to present confidently and work effectively with staff and management at all levels
  • Ability to investigate, analyse and interpret MI
  • Issue Management capabilities displaying effective organisational and stakeholder management skills
  • Excellent attention to detail

InterQuest Group is acting as an employment agency for this vacancy. InterQuest Group is an equal opportunities employer and we welcome applications from all suitably qualified persons regardless of age, disability, gender, religion/belief, race, marriage, civil partnership, pregnancy, maternity, sex or sexual orientation. Please make us aware if you require any reasonable adjustments throughout the recruitment process.