Compliance Manager

Weatherbys Bank Ltd
Wellingborough, UK
26 Aug 2019
21 Sep 2019
Contract Type
Full Time
Weatherbys Bank is looking to recruit a Compliance Manager focusing on our Wealth Management Division. The primary responsibility of this role is to ensure that internal policies are implemented and adhered to, in accordance with regulatory requirements. The successful applicant will also be expected to support the wider Bank Compliance programme. This is a really exciting opportunity to join a growing private bank with a diverse portfolio of interests.

Key Responsibilities:

·Undertake compliance monitoring programme of our Wealth Management division.

·Ensure policies and procedures remain up to-date and compliant with both internal risk appetite objectives as well as broader regulatory requirements.

·Monitor the status of implementation of agreed remedial actions and report all outstanding actions to the Head of Compliance.

·Undertake 'Horizon scanning' to ensure Bank policies and procedures are up to date.

·Assess Wealth and Advice activities on an ongoing basis to proactively enhance the process.

·Engage fully with the front-line business to ensure continuous improvement.

·Assist with thematic reviews and other projects as necessary.

·Support the Head of Compliance in preparing the Compliance Assurance Plan setting out an appropriate programme of risk-based compliance assurance activities.

·Deliver all required aspects of the Compliance Assurance Plan on time and to a high standard.

·Assist in the provision of compliance training and proactively work with first line of defence to ensure they receive a positive experience and take appropriate action to drive positive client outcomes.

·Maintain a strong working relationship with key stakeholders.

The ideal candidate will have:

·A degree in law, finance, or a similar field, with demonstrable compliance experience.

·Solid FCA compliant knowledge, particularly in Wealth Management and Financial Advice.

·Previous experience of compliance or quality assurance in the Wealth Management and Financial Advice sector.

·A confident, professional individual with excellent communication/influencing skills.

Similar jobs

Similar jobs