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Senior Compliance Manager

Employer
Compliance Professionals
Location
UK
Salary
Competitive
Closing date
27 Jul 2021

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Sector
Accountancy
Contract Type
Permanent
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Job Details

THE COMPANY:

Our client is multinational Corporate and Retail banking company based in the City.

THE RESPONSIBILITIES:

  • To possess a thorough up-to-date understanding of the relevant PRA/FCA rules in particular in respect to SMR, MiFID II and CASS
  • Remain up-to-date with regulatory and legislative developments and ensure the implications for the Bank are assessed.
  • Maintain and keep up to date all documentation required to allow the Bank to meet its obligations under SMR.
  • To assists the Head of Compliance and Head of HR to ensure that staff are appropriately trained on the SMR requirements and Conduct Rules.
  • To prepare and submit regular reports on SMR and other Compliance related matters to the Governing bodies
  • To assist the Head of Compliance to manage the processes relating to SMR and certification regime
  • To assist the Head of HR to manage the embedding and reporting under the Bank's Remuneration Policy and, as necessary, other HR policies relating to SMR.
  • To promptly deal with or escalate regulatory breaches to the Head of Compliance and ensure both corrective and preventive actions have been implemented by the business unit.
  • To facilitate effective and constructive sharing of knowledge and experience of compliance issues and to effectively engage with all the staff members.
  • To manage and complete registrations using the PRA / FCA online platform.
  • To undertake other Compliance related projects as directed by the Head of Compliance.
  • To act as business partner for Treasury.
  • To prepare and present Compliance reports to the Board and management committees to enable effective action to be taken, as necessary.
  • Provide support and act as a back-up for CASS related matters.


EXPERIENCE REQUIRED:

  • SMCR; CASS; MFID II; Governance; PRA / FCA
  • Treasury product knowledge ideally
  • Compliance projects and board reporting;
  • Regulatory work;
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