Compliance Specialist-Conduct Risk

Bluspec Recruitment Ltd
Closing date
11 Feb 2022

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Contract Type
Full Time
The Compliance Senior Manager helps to ensure that the firm:
• Understands the context of a compliance and Financial Crime environment that all UK based financial institutions face;
• Recognises the regulatory risks and mitigating actions that banks face, such as from relevant legislation, the PRA and FCA Handbooks, and appropriate industry guidance; and recognise the Bank specific context and regulatory risks that the Bank faces;
• Considers how these regulatory risks are currently controlled and makes recommendations for an appropriate control regime;
• Helps ensures that all relevant regulatory risks are considered using a risk based methodology;
• Helps to execute the compliance monitoring programme by conducting compliance monitoring reviews;
• Conduct daily monitoring for sanctions/PEPs/Adverse Media alerts;
• Helps to ensure that all required policies and procedures are fit for purpose;
• Assists the Compliance and Financial Crime Team to embed the principles of soundness and safety, and of good consumer outcomes, within the Bank in order to demonstrate that the Bank can continue to meet its Threshold Conditions;
• Advises the business to enable it to demonstrate, on an on-going basis, that it can meet its Treating Customers Fairly objectives;
• Develop effective day to day working relationships with the Bank's key stakeholders;
• Helps provide alternative manual and technological solutions to the effective remediation of the firm's customers from a CDD perspective;
• Helps the Compliance and Financial Crime Team develop an appropriate suite of key compliance performance / risk indicators suitable for various stakeholders;
• Ensures that all staff are aware, by means of tailored face to face training and otherwise, of their corporate and personal regulatory obligations.
• The production of compliance report.
• Any other work assigned by the authorities from time to time by the COO/CEO under the capacity of Sr Manager.
• To make yourself aware about all the Bank's policies, procedures and other guidelines which are placed in the "Policies for all" folder of the Project drive (which are being reviewed or updated from time to time).
• Will report to Head of Compliance

Skills Required
▪ Solid understanding and experience in compliance role.
▪ Knowledge and experience of working in an FCA/PRA regulated firm.
▪ Ability to work in fast paced, challenging dynamic and demanding environment with changing priorities.
▪ Compliance qualification will be advantageous.
▪ Strong stakeholder management skills.
▪ Ability to practically apply an approach to compliance in a form and style that is appropriate to the business.
▪ Excellent written and oral communication skills at all levels, strong communicator.
▪ Should have a positive "can do" attitude combined with a flexible approach to the tasks required

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