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Senior Compliance Manager - Advisory

In or around this area

City of London

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Job Description

Senior Compliance Manager - Advisory

Job posted by: Michelle Ings.



Compliance Monitoring

  • Perform day-to-day reviews determined by the Compliance Monitoring Plan, produce clear and timely reports highlighting areas of improvement, and track all actions raised.

  • Strong understanding of MiFIDII, EMIR, and FCA and PRA handbooks applicable to the Bank.

  • 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 - Post-Brexit UK regulatory changes, Conduct/SMCR, MiFIDII / EMIR regulatory processes, periodic transaction reporting look back reviews, Market Abuse Surveillance, Deposit Protection / SCV file enhancements, Payments (PSD2).

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