Compliance Associate Manager

ZipRecruiter; London; Hybrid; GBP 60,000 - 70,000; Full time

Job summary

An established industry player is seeking a Compliance Associate Manager to join their team in London. This permanent role offers a hybrid work environment and is ideal for someone with extensive experience in compliance and regulation. You will be responsible for reviewing documents, liaising with legal advisors, and ensuring that regulatory risks are effectively managed. The successful candidate will have a law degree and relevant professional qualifications, along with a strong understanding of regulatory rules and industry best practices. If you are passionate about compliance and ready to make a significant impact, this opportunity is perfect for you.

Qualifications

• 5+ years of experience in compliance and regulation.
• Experience in policy writing and development.

Responsibilities

• Review internal and external business-related documents.
• Assist in ensuring regulatory risks are identified and controlled.
• Develop best practices in compliance control.

Skills

Compliance and Regulation

Policy Writing

Regulatory Knowledge

Analytical Skills

Education

Law Degree

Securities Institute's Diploma in Regulation & Compliance

Anti-Money Laundering Diploma

Job description

Job Description

Compliance Associate Manager

City of London / Hybrid 4/1 split

Permanent

£60,000 - £70,000

cer Financial is working alongside a bank based in the City of London. They are seeking a Compliance Associate Manager to join them on a permanent basis.

The responsibilities of a Compliance Associate Manager include:

• Review internal and external business-related documents and templates from a legal perspective, providing analysis and feedback as required.
• Liaise with third-party legal advisors and consultants when necessary.
• Review all third-party and supplier contracts.
• Assist the Compliance Manager in ensuring that regulatory risks are identified, measured, monitored, and controlled, considering the requirements of the annual Compliance Monitoring Programme.
• Help develop best practices in compliance control.
• Provide accurate and timely advice on regulatory issues, business standards, policies, and procedures, promoting best practices and supporting the first line of defence in embedding compliance.
• Annually review, update, and execute the Compliance Monitoring Plan, challenging the business where necessary.
• Ensure the Monitoring Plan aligns with current PRA/FCA regulations, products, and risks.
• Complete allocated tasks within the plan and report findings to the Management Committee (MC) and Risk and Compliance Committee (RCC).
• Review and update relevant compliance policies and procedures, including the Compliance Manual, to reflect current regulations and risks.
• Present the Compliance Monitoring Plan to the RCC for approval.
• Stay informed about key regulatory changes and communicate proactively with the business, updating policies and frameworks accordingly.
• Monitor regulatory developments, promote industry best practices, and ensure changes are integrated into company policies and processes.
• Assist in preparing monthly Management Committee reports and quarterly Risk and Compliance Committee reports when required.

Requirements for the Compliance Associate Manager include:

• At least 5 years of proven experience in compliance and regulatory fields.
• Experience in policy writing, development, and implementation, such as Compliance Manual and Financial Crime policies.
• Understanding of wholesale banking and/or trade finance.
• A law degree.
• Relevant professional qualifications, such as Securities Institute's Diploma in Regulation & Compliance and/or Anti-Money Laundering Diploma, are highly desirable.