Senior Compliance Manager

Arbuthnot Latham; Greater London; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Manager for a 12-month maternity cover. This role is pivotal in ensuring compliance with FCA and PRA regulations while fostering a positive compliance culture. The ideal candidate will leverage their expertise in regulatory compliance, risk management, and leadership to guide the Compliance Team. Join a forward-thinking organization that values diversity and inclusion, offering competitive benefits and a dynamic work environment. If you're passionate about compliance and making a difference, this opportunity is for you!

Benefits

Competitive salary

Pension

BUPA Health cover

4x Life Assurance

Discretionary bonus

Market leading maternity/paternity policies

Qualifications

• Expertise in compliance regulations and risk management.
• Experience in financial services and compliance roles.
• Strong communication and leadership skills.

Responsibilities

• Provide regulatory support and compliance advice.
• Manage compliance monitoring and reporting activities.
• Lead compliance initiatives and training programs.

Skills

Regulatory Compliance

Risk Management

Communication Skills

Leadership

Education

Degree Level Education

CISI Compliance Diploma

IMC or Equivalent

Tools

Excel

Access Databases

Job description

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Direct message the job poster from Arbuthnot Latham

Talent Acquisition Specialist at Arbuthnot Latham & Co., Ltd

This role is a 12months Maternity cover.

To provide a significant contribution to the management and strategy of the Compliance Team and fulfilment of its responsibilities, to ensure that the firm meets its regulatory requirements.

To place the interests of customers at the centre of all activities, act in a way that is consistent with achieving good outcomes for consumers and to comply with the FCA and PRA's Conduct Rules.

Key Responsibilities:

Advice

• Provide regulatory technical support to the business, including advising on a variety of regulatory rules and guidance and using own initiative to assess complex information and apply to the business.
• Support and contribute to the development and implementation of a compliance framework that enables the provision of compliance advice. This includes policies, processes and raising awareness through training if required.
• Apply regulatory knowledge to business situations when supporting the business and Senior Leadership team in making decisions regarding regulatory risk, and confidently provide robust challenge as needed.
• Review and challenge business proposals to ensure that there has been adequate consideration of regulatory requirements and evidencing appropriate actions to ensure delivery of fair customer outcomes.
• Work with the business to embed compliance initiatives and programmes e.g., specific regulatory projects.
• Assess complex situations and provide advice, guidance, and feedback, even when full information may not be available.

Monitoring

• Support the design and delivery of a risk-based Compliance Monitoring Programme.
• Undertake and oversee effective Compliance monitoring activities: provide guidance, challenge, and assistance with the execution of the CMP and personally prepare and undertake monitoring reviews in accordance with the plan. This includes ensuring close out discussions and final reports and clear and agreed by relevant stakeholders.
• Leading and/or support external visits to subsidiaries, branches and third-party administrators.
• Manage compliance relationships with internal and external stakeholders

Key Stakeholders

• Support internal and external audits, including liaising, reviewing and challenge where appropriate and keep the HoCM/HoCA&RG advised of progress.
• Authority to make decisions at allocated committees/working groups, providing challenge and guidance where appropriate.
• Manage and oversee all relevant regulatory reporting and communication requirements, including with the relevant regulators.
• Encourage a positive compliance culture throughout the Bank.

Line management responsibility (where applicable) and/or Leadership role

• Develop and manage direct reports through work-related learning, support in studying and career development process.
• Identify areas for improvement.
• A subject matter expert dealing directly with Heads of Department and Senior management.

Wider team responsibility

• Provide help, guidance, and leadership in absence of the CCO or HoCM/HoCA&RG and Deputy HoC.
• Contribute to the leadership of the team through attending senior management meetings e.g., Board Committees on request and key management committees.
• Produce and critically review management information to be delivered to Senior Leadership team.
• Other management activities – such as contribution to team strategy.
• Authority to make decisions that may impact the team, department and business areas.
• Contribute to the overall development of team members with the objective of enhancing the individual’s regulatory knowledge.

Day to day activities

• Keep up to date with developments which may affect the business and horizon scan for future regulatory developments, ensuring the wider business are aware and taking the lead where action may be needed.
• Review and approve customer communications, financial promotions and client Terms/Agreements.
• Co-ordinate reviews and changes to compliance policies and procedures, only referring material changes.
• Provide oversight to the provision of the annual skill serve training delivered across the business.
• Prepare, approve, and authorise the submission of FCA and PRA returns, notifications, and communications.

Risk

• Responsible for managing risks inherent to the role by diligently observing internal policies and procedures.

Key interfaces

• All Functional Heads and relevant reports, the Internal Audit Team and members of the Compliance Team and Operational Risk Team. Additionally, interfacing with professional bodies and trade bodies in relation to the role.

Person Specification

Knowledge / Experience/Skills:

• Detailed knowledge across all areas of Compliance and considered to be a subject matter expert in at least three or more topics.
• Detailed understanding of the activities of the Bank and its subsidiaries.
• Significant experience in Financial Services, with several years’ experience working within a Compliance role in a banking and investment services environment.
• Previous experience in an audit role would be advantageous.
• Clear, practical understanding of FCA and PRA regulation and all other relevant regulations.
• To have experience of regulatory projects and/or monitoring across a variety of subject areas.
• Experience (or developing experience) of leading others.
• Good verbal and written communication skills.
• A practical understanding of Excel spreadsheets, access databases and web-based applications.
• Able to deputise for the Head of Compliance Monitoring or Head of Compliance Advisory & Regulatory Governance.

Qualifications:

• Ideally educated to degree level
• A relevant industry qualification, i.e., CISI Compliance Diploma or equivalent (level 6).
• Other qualifications beneficial e.g., IMC, Certificate in Securities, CeMAP
• Communication and confidence
• Problem solving and judgement
• Influencing others
• Performance focus
• Expert knowledge
• Leading Others

About Us

Life, Work and Benefits

Arbuthnot Latham is committed to equal-opportunities for all staff and candidates. We embrace inclusion & diversity and understand why they are critical for the success of our business and people.

• Competitive salary, pension & holiday allowance
• BUPA Health cover
• 4x Life Assurance
• Discretionary bonus
• Market leading maternity/paternity and menopause policies

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Contract

Job function

• Job function

  Management and Quality Assurance

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