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Compliance Manager

London - City of
Not Specified
Job Reference

  • Assist the Head of Compliance & Legal in the planning and prioritisation of compliance work.

  • Prepare / oversee and submit the non-financial returns.

  • Liaise with the Bank's internal auditor in undertaking compliance duties where necessary.

  • Liaise with Regulators and other appropriate 3rd parties under the direction of the Head of Compliance & Legal.

  • Assist in all other tasks, periodic, ad hoc, or otherwise, as directed by Line Manager.

  • Refer issues to Line Manager as required. Review the Bank's operating procedures, both manuals & actual processes, and review management information from a compliance perspective.

  • Recommend improvements where appropriate and ensure that compliance manuals are kept up-to-date in the light of developing legislation;

  • Perform gap assessments and work with the business to close out the gaps from these regulations.

  • Monitor the performance and coverage of the compliance plan and make recommendations for adjustments / improvements to the Head of Compliance & Legal.

  • Review and update Compliance and other relevant policies and procedures within the organisation.

  • To meet objectives and deliver appropriate advice / reports / recommendations within agreed timescales.

Compliance Advisory

  • Ongoing advisory / response to queries from business units on the applicable of existing compliance policies, potential transactions / products and / or changes to processes to ensure compliance with existing regulations, includes queries from Treasury, Corporate & Institutional Banking, Global Loan Syndications & Debt Markets and Operations / Client Services departments;

  • Develop and maintain strong relationships with other departments and provide appropriate advice on compliance issues. Refer issues to your Line Manager as required.

Horizon Scanning

  • Identification, interpretation and assessment of forthcoming regulatory developments that may impact the Bank. This covers the regular review of regulatory bulletins, publications and policy announcements; from the UK / European Regulators and various industry trade bodies.

Regulatory Change

  • Management and ongoing support to the business (including liaison with external suppliers) for new / recently implemented regulatory compliance projects. This includes: MiFIDII / EMIR regulatory processes, periodic transaction reporting look back reviews, Market Abuse Surveillance, Deposit Protection / SCV file enhancements, Payments (PSD2).


  • Maintain the Bank's legal risk framework, including existing policies and procedures;

  • Provide support in overseeing the sourcing of external legal advice when necessary;

  • Perform annual reviews of the Bank's Legal Panel;

  • Prepare quarterly legal risk management reports to various stakeholders such as Head Office, Board committees;

  • Managing the Bank's litigation portfolio using external lawyers.

Skills Required:

As the successful candidate you will: -

  • Be strategically minded, with the ability to think and react quickly to change, negotiate through ambiguity whilst remaining committed to delivery.

  • Need to be prepared to work in a challenging environment and be comfortable communicating with people of all levels and experience.

  • Be self-motivated, approachable, able to absorb technical information and eager to both learn and coach.

  • Possess excellent time management and prioritisation skills.

  • Be able to balance well the guardianship and client service responsibilities and have a strong appreciation of franchise risk.

  • Demonstrate up to date knowledge of the PRA / FCA requirements, relevant policy developments, awareness of global regulatory developments, and have an appreciation for the approach of other regulators.

Skills Desired:

  • Experience of working in a Compliance Department, at a regulator or in a Regulatory Control Department / similar function of a financial institution.

  • Compliance issues in wholesale, retail and international banking.


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