Senior Compliance Manager – Private banking/ Wealth management, 6 month FTC

THE COMPANY:

We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services.

THE RESPONSIBILITIES:

• Carry out regulatory and various other compliance advisory, monitoring and ad hoc activities, in particular, by completing delegated tasks by the Head of Compliance.
• Business Partner to business areas allocated by Head of Compliance.
• Responsible for SMCR scheme.
• Writing reviewing and implementation of Compliance Policies
• Responsible for Horizon scanning, assessing impact and advice to business of regulatory changes and running the Regulatory change working group.
• Preparing guidance and training on new and existing regulatory and certain legal requirements (and on any remedial action to address identified existing shortcomings) to business units.
• Departmental procedures and documentation templates (including Key Facts and client agreements and notices) and delivering or approving training.
• Approval of financial promotions and other communications
• Advice and oversight of Consumer Duty for business areas.
• Management of complaints for business areas.
• Regulatory reporting tasks as allocated
• Responsible for preparing and reporting on KRI’s as allocated by Head of Compliance
• Responding to ad hoc requests for advice and assistance.
• Reviewing and reporting on adherence to regulatory and legal requirements in accordance with the annual Compliance Monitoring Programme or as other risk based monitoring requirements are identified.
• Maintaining records of regulatory change and compliance department recommendations for changes to existing policy or procedures, including action being taken and confirming completion of that action.
• Drafting regular reports for management, including the Operational Risk, Management and Audit & Compliance Committees and Group Compliance.
• Preparing or reviewing regulatory periodic or ad hoc returns, (especially fee data, CMAR, controllers, close links, complaints, RDR & MMR) including assistance with thematic review responses.
• Advising and liaising with operational departments to implement changes in operational processes arising from new regulations, business developments, and compliance review findings.

EXPERIENCE REQUIRED:

• A total of 5+ years’ professional experience within Compliance is required.
• Desirable background in legal or compliance or auditing
• Desirable to have Compliance qualifications/ CISI qualification

For further information, please contact hannah Tabatabai