Compliance Assistant Manager

Compliance Professionals; Greater London; On-site; GBP 60,000 - 85,000; Full time

Job summary

Compliance Professionals is seeking a Compliance Assistant Manager for a leading international banking group in London’s West End. You will support the Compliance function to maintain and enhance the Branch’s compliance framework.

Responsibilities include updating procedures, coordinating reviews, monitoring updates, maintaining policy inventories, and driving the Risk and Control Self-Assessment while managing remediation and reporting.

Qualifications

• Strong regulatory compliance experience in a generalist role, ideally in corporate banking.
• Excellent written and verbal communication skills.
• Strong analytical and reporting capabilities.
• Well-organised with good MS Office proficiency.

Responsibilities

• Review, update, and maintain the Branch’s compliance procedures and documentation.
• Coordinate with departments to ensure procedures are reviewed, approved, communicated, and implemented.
• Monitor outstanding procedure updates and follow up.
• Maintain an up-to-date inventory of compliance policies and procedures.
• Identify gaps or inconsistencies and recommend enhancements.
• Support the Compliance Monitoring and Testing Programme implementation and maintenance.
• Conduct or coordinate compliance reviews and testing activities.
• Identify control weaknesses and agree corrective actions.
• Monitor remediation plans and prepare periodic reports.
• Support the risk and control framework and RCSA exercise.
• Assist in regulatory requirements assessment and management reviews.

Skills

Regulatory compliance

Analytical skills

Communication

MI reporting

Organisational skills

MS Office

Tools

Microsoft Office

Job description

THE COMPANY:

Our client is a leading international banking group based in the West End. They are looking for a Compliance Assistant Manager to support the Compliance function in maintaining and enhancing the Branch’s compliance framework.

THE RESPONSIBILITIES:

• Review, update, and maintain the Branch’s compliance procedures, and related documentation
• Coordinate with relevant departments to ensure procedures are reviewed periodically, appropriately approved, communicated, and implemented.
• Monitor outstanding procedure updates and follow up
• Maintain an accurate and up-to-date inventory of compliance policies and procedures
• Identify gaps or inconsistencies in existing procedures and recommend enhancements
• Support the implementation, administration, and ongoing maintenance of the Compliance Monitoring and Testing Programme.
• Conduct or coordinate compliance reviews and testing activities
• Identify control weaknesses and instances of non-compliance, and agree corrective actions
• Monitor remediation plans
• Prepare periodic reports
• Support the implementation and maintenance of the Branch’s risk and control framework
• Coordinate the annual Risk and Control Self-Assessment (RCSA) exercise
• Assist in monitoring applicable regulatory requirements
• Support the assessment of the impact of new or amended regulatory requirements
• Assist the Compliance Department in coordinating and managing reviews
• Assist in preparing management updates and responses relating to review observations, compliance gaps, and outstanding actions.
• Manage or coordinate projects delegated by the Compliance Head
• Support initiatives to enhance compliance processes.
• Perform other compliance-related duties

EXPERIENCE REQUIRED:

• Strong regulatory compliance experience in a generalist role ideally in a corporate banking environment
• Strong analytical skills
• Excellent written and verbal communication skills
• Experience in management information and reports
• Strong organisational skills
• Proficiency in Microsoft Office

For further information please contact Natalie Eshelby