Regulatory Compliance Manager

THE COMPANY:

The Client are a multi jurisdiction financial institute offering Private Banking and Real Estate for Corporate & Retail Clients. The firm are looking to hire a Regulatory Compliance Manager to join the team.

THE RESPONSIBILITIES:

• Carry out assessments and maintain the mapping table of the regulatory compliance rulebook against the Bank’s activities, encompassing all applicable regulatory bodies
• Manage and operate the Compliance monitoring programme
• Manage the Compliance Risk Assessment Process
• Conduct thematic reviews
• Risk & Compliance Committee Issue follow up – Compliance findings tracker
• Provide MiFID support
• Conduct periodic compliance monitoring from a 2nd line of defence standpoint, emanating from processes and controls identified from the Compliance risk assessment.
• Assist the Head of Compliance in providing advisory activities to the business areas on day-to-day matters as well as specific requirements.
• Serve as the lead for assessing emerging regulatory matters through the regulatory change working group and horizon scanning.
• Prepare monthly management information relating to monitoring finding and other compliance matters and report into governance committees
• Assist in the logging of, and investigation into, compliance related breaches
• Assist in the investigation and logging of customer complaints, and registering of gifts and entertainment, personal account dealing, data protection matters and other compliance related items
• Assist in Compliance policy creation and enhancements of procedures
• Prepare various regulatory returns as relevant
• Assist the Bank through providing Compliance expertise on initiatives or projects as needed
• Support the broader Compliance team in day-to-day activities as requested
• Support the wider business by promoting a compliance culture through interactive feedback from monitoring reviews
• Deputize for the Head of Compliance as required
• Assist the Banks’ Data Protection Officer to ensure that the business is compliant with the current legislation

EXPERIENCE REQUIRED:

• Relevant experience of regulatory compliance activity in Banking firm
• Relevant retail and MiFID experience desired
• Very strong knowledge of FCA handbooks and associated requirements for Banking firms
• Strong MiFID knowledge is essential and Payment Services Regulations desirable
• Knowledge of banking operational procedure
• Knowledge of 2″line monitoring techniques
• Ability to map regulation to business activity
• Well-versed in monitoring techniques and risk assessment

For further information please contact Hannah Tabatabai