Senior Compliance Manager - Banking

Recruiter
LMA
Location
London (Greater)
Posted
20 Feb 2019
Closes
27 Feb 2019
Sector
Legal
Contract Type
Permanent
Hours
Full Time
Overview To assist the Head of Compliance to ensure that the Bank meets all necessary regulatory requirements in a timely manner To assist the Head of Compliance to ensure that the Bank meets its commitments in respect of its Anti Money Laundering obligations. To assist in the formulation of and carrying on of the Branch’s compliance monitoring programme, to promote the Branch and maintain the compliance framework. To jointly act as point of contact and liaison with PRA and FCA for the regulatory matters in the absence of the Head of Compliance. DUTIES AND RESPONSIBILITIES To develop and review policies and procedures and ensuring they remain compliant with regulations Provide compliance approvals within the department as and when required Overseeing the day to day operation of the Compliance department Assist in developing and implementing the Compliance Monitoring Programme, concentrating on Conflicts of Interest and Market Abuse Carry out monitoring tasks as assigned by the Head of Department S ign off on all monitoring test sheets within the compliance department Ensuring compliance issues are resolved in a timely manner and appropriate processes are developed accordingly if necessary T o investigate, advise and resolve ad hoc queries from all business areas when required such as Syndicated Lending and MiFID II Provide assistance to Head of Department in strategic planning for the compliance function to become an integral part of the branch To carry out such other duties at the request of the Head of Department Providing assistance to the MLRO in performing its responsibilities. QUALIFICATIONS Extensive experience - Strong relevant experience in Compliance roles gained at financial services firms

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