Senior Compliance Manager

Senior Compliance Manager
Permanent
London - hybrid (3 days per week in the office)

Sterling Williams have a fantastic opportunity for a Senior Compliance Manager who will support the Head of Compliance (SMF16), deputising when necessary, in providing a proactive and timely delivery of compliance activities across an international Bank. The candidate will help provide regulatory advice, monitoring, reporting, training and other compliance outputs as required. Working in a small team, the breadth of the role is generalist in nature, whilst requiring a strong level of specific technical knowledge of financial services regulation as relates to banking activities within the UK, as well as experience with dealing with a wide range of stakeholders.
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Regulatory Advice:
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• Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact assessments. This includes horizon scanning activities in relation to new or existing regulation and reporting through to internal Committees for the purposes of oversight.
• Support the business through the provision of timely and outcomes-focussed regulatory advice and guidance, as part of project and change programmes and resolving ad hoc queries which arise from time to time.

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Compliance Monitoring
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• Assist on compliance monitoring reviews as assigned by the Head of Compliance, covering the Bank’s regulated activities. This includes preparing terms of reference, testing the design and operational effectiveness of regulatory controls, report writing, agreeing findings with key stakeholders and tracking all issues and remediation through to closure.
• Assist in the Implementation of the Bank’s Compliance Monitoring framework, processes and procedures in line with industry and regulatory standards and the Bank’s risk appetite. Where required, aid in reviewing and updating compliance monitoring procedures to drive continuous improvement.
• Influence and guide internal stakeholders to ensure the successful implementation of the compliance monitoring framework and the resolution of issues/actions.
• Support in evaluating the ongoing effectiveness of the Compliance Risk Universe.

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General Regulatory Compliance
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• Collate all required compliance Management Information (MI) relating to monitoring and regulation and analyse trends and issues to provide information and assurance to key internal governance forums.
• Assist the Head of Compliance in managing Data Protection Compliance, including where applicable, the use of third party vendor.
• Proactively develop own knowledge of regulatory compliance and share best practice with members of the wider Risk Teams and across the bank as appropriate.
• Review & sign off literature and other marketing materials in line with the FCA Financial Promotions rules and other associated guidance.
• Oversee the timely and effective resolution of regulatory incidents.
• Develop new compliance policies and procedures when required.
• Work with Business stakeholders to ensure the timely submission of regulatory reports.

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Knowledge & Skills
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• Demonstrable experience in a Compliance or Audit related role within financial services, ideally within a Banking environment.
• In depth regulatory knowledge of FCA and PRA regulations affecting the Bank
• Excellent oral, written communication and organisational skills as well as the ability to present confidently and work effectively with staff and management at all levels
• Ability to investigate, analyse and interpret MI and to create and maintain committee packs.
• Issue Management capabilities displaying effective organisational and stakeholder management skills
• o Excellent attention to detail and ability to multi-task