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Senior Compliance Manager

HR GO Recruitment
Job LocationLondon
EducationNot Mentioned
SalarySalary negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

  • 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.
  • Excellent knowledge of compliance issues in wholesale, retail, and international banking.
  • Excellent knowledge of regulatory rules.
  • Excellent knowledge of the requirements of the industry codes relating to compliance.
  • Strong report writing skills and Computer literate.
    • 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 Banks 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.
    • Required skills
  • Compliance Monitoring
  • Horizon
  • Lending
  • EMIR
  • Legal counsel
  • Min 5 years
  • PRA/ FCA/ Coach
  • MIFID11

    • Keyskills :
    Compliance Moniting Hizon Lending EMIR Legal counsel Min 5 years PRA/ FCA/ Coach MIFID11

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