This is the full information available for the job you have selected. Should you wish
to apply for this position click on the apply now link to add to your
list of selected jobs.
On behalf of our client an International Bank based in London we are currently seeking an experienced Manager - Compliance Monitoring to cover Maternity Leave (6-12 Months) to join their team.
1. Maintenance of Compliance Monitoring tracking
2. Review and approve financial promotions
3. New retail & business banking projects / product proposals
4. Compliance Monitoring reviews
5. Update the VRM tracker
6. V-Komply ? as & when required
7. CASS reporting
To possess a good, up-to-date understanding of both the PRA and FCA regulatory requirements in particular in relation to COBS, AML / KYC, training and competence and data protection.
To provide independent oversight and work with other members of the Compliance team and support the Head of Compliance /MLRO to undertake and complete the monitoring reviews incorporated in the Compliance Monitoring Plan. This includes preparation of reports for review and approval by the Head of Compliance before submission to the Board Conduct Risk Committee.
To maintain a database of issues arising from monitoring reviews and ensure that businesses/support functions complete all actions on a timely basis.
To propose changes (and ensure that they are implemented by the relevant member of the Compliance team) to Compliance policies, processes, training etc as a result of observations arising from the monitoring reviews.
To help ensure that relevant and reliable management information on compliance related issues (including monitoring reviews and other matters as required by the Head of Compliance) is prepared and delivered to senior management on a timely basis in order to enable effective action to be taken where necessary.
To work with other members of the Compliance team to review and approve financial promotions on a timely basis. To ensure that all approved material is logged and kept on file along with the approval for future reference.
To assist on ad hoc projects, as required by the Head of Compliance, including preparation of Compliance reports to management, Board and Board committees.
Completion of reviews, as per the Compliance Monitoring Plan
Compliance governance and other ad hoc matters
Good analytical and investigative skills
Attention to detail
Ability to use initiative and work with minimum supervision but ensuring, at the same time, that the line reports are kept fully informed at all times.
Ability to communicate effectively, orally and in writing
Ability to learn rapidly and adapt to change
Knowledge and Expertise Essential
Must have relevant experience or Conduct Risk review including handling investigations.
The main responsibilities of the candidate we are looking for as below;
Extensive experience of compliance monitoring, preferably in retail banking
Wide-ranging financial services experience and knowledge of banking products and processes.
Good understanding of current and anticipated regulatory requirements and expectations.
Experience and qualifications specific to the role Essential
Educated to Graduate level or relevant industry qualifications
<return to list
email to a friend
more jobs like this
alert on jobs like this