Senior Compliance Manager

£70000 - £80000 per annum
26 Feb 2013
26 Mar 2013
Ryan Graham
Contract Type
Full Time

Senior Compliance Manager

A leading provider of financial services products and services is looking to hire a new Senior Compliance Manager for its Group Compliance function inLondon. An advisory role, the firm is looking for a compliance professional that can provide guidance on regulatory risk to the wholesale banking areas and investment/wealth management services. This is an excellent role for a senior manager that has worked for a broad range of financial services firms and would relish the opportunity to consult based on this experience.

Key responsibilities will include:

  • To work with colleagues across the Compliance functions to create and maintain an environment in which senior management and businesses are able to comply with their obligations under the various Financial Services regulatory requirements
  • Monitor the Regulatory Compliance risk profile of specific Business Units
  • Work with colleagues to deliver 'fit for purpose' compliance risk management processes to mitigate Regulatory Compliance Risk
  • Direct activity and resource to undertake special investigations into major control breaches that have a serious regulatory impact on the business


  • Thorough understanding of the regulatory framework for financial services businesses
  • Broad knowledge of financial markets and expertise in major product areas and financial services.
  • Detailed knowledge of the regulatory requirements that are relevant to the business areas with which the role holder will liaise
  • Proven experience of monitoring of regulatory compliance processes and practices in a financial services institution.
  • Knowledge of compliance best practice and, ideally, a background in developing a leading-edge compliance function.
  • Proven capability of dealing with regulators at senior level.
  • Strong management, leadership and team skills and ability to communicate compliance issues in a non technical way to senior management.
Salary: £70 - £80k + benefits


If you have broad financial services compliance experience and wish to utilise your skills in an advisory manner on a global basis, please send your CV to and get in touch on 0207 398 3600.

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