Senior Compliance Manager – 6 month FTC

Compliance Professionals; City Of London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading finance institution in London is seeking an experienced Compliance Specialist to oversee regulatory compliance activities. You will manage compliance policies, provide training, and ensure adherence to regulations. The ideal candidate has at least 5 years of experience in compliance, preferably with a background in legal or auditing. This role offers an opportunity to play a key part in a dynamic team focused on compliance in a corporate banking environment.

Qualifications

• 5+ years of experience in compliance, ideally with a legal or auditing background.
• Experience preparing and implementing compliance policies.
• Ability to advise on regulatory changes and manage compliance documentation.

Responsibilities

• Carry out compliance advisory and monitoring activities.
• Prepare guidance and training on regulatory requirements.
• Draft reports for management and compliance committees.

Skills

Regulatory compliance knowledge

Advisory and monitoring skills

Stakeholder management

Education

Compliance qualifications or CISI qualification

Job description

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

Please note that for further information, you should contact the relevant person.