Senior Compliance Manager

Posted 20 December 2023
Salary Negotiable
LocationCity of London
Job type Permanent
Discipline Compliance
Contact NameKalya Chambers

Job description

Job Description:

The purpose of this role is:

· Reporting to the Head of Compliance Monitoring & Thematic Reviews, the role requires the delivery of the thematic review plan, support for the activities of the Risk & Compliance team and championing the embedding of a compliance awareness culture.

Main Accountabilities:

The main duties of the role:

· Responsibility for leading and delivering the annual thematic review plan.

o Ensure issues are escalated in a timely manner to the right audience.

o Ensure reviews and reports are delivered in a timely manner and are of the expected quality.

o Track issue/action closure.

· Support on routine monitoring activity such as CASS, Transaction Reporting and Suitability, challenging policies, procedures and the application of them and the impact on client outcomes.

· Undertake ah-hoc projects and tasks as required.

· Assist in the development and maintenance of the Compliance Monitoring Plan.

· Assist in the delivery of excellent service to the International business that has outsourced monitoring and thematic activities to the Group Compliance Monitoring Team.

· Take accountability and ownership for your actions.

· Escalate and report any concerns identified to the Head of Compliance Monitoring & Thematic Reviews/Group Head of Compliance, where possible providing recommendations/action plans to address them.

· Deputise for the Head of Compliance Monitoring & Thematic Reviews as appropriate, including managing the allocation of resource within the team to ensure the plan is covered, producing MI and attending and actively participating in relevant committees.

· Support the Head of Compliance Monitoring & Thematic Reviews/Head of Compliance in strategic initiatives as directed.

· Liaise and provide support to Group Internal Audit and other parts of Risk & Compliance in managing risk.

· Maintain industry knowledge, regulatory changes, company policies and procedures.

· Collaborator and team player; both with FLOD and the wider 2LOD.

Technical Skills/ Competencies:

Skills required to undertake the role:

· Highly organised, methodical, efficient, and able meet deadlines

· Excellent interpersonal and communication skills (articulate and concise) with the ability to influence stakeholders at all levels; especially when delivering a challenging message.

· Able to work on own initiative but also to accept direction when necessary.

· Excellent report writing skills; ensuring the content and tone is appropriate for the target audience.

· Commercial awareness; sound judgement and evidence of a pragmatic and innovative problem solving, understanding of retail investment products and financial services in the wealth management sector.