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Deputy Manager - Regulatory Compliance and Data Protection Officer

Andy File Associates Ltd
Closing date
26 Jun 2022

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Contract Type
Full Time
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Andy File Associates Limited are working as a Recruitment Business on behalf of our client with regards this permanent position.

Deputy Manager - Regulatory Compliance and Data Protection Officer

Department: Legal & Compliance

Reports To: Head of Legal & Compliance

NB - This job specification is concise and a full job spec can be given on request

Job Role

The job holder is required to possess a solid regulatory compliance knowledge gained within the financial services industry, combined with at least one year's financial services in-house paralegal experience. Prior experience of GDPR and data protection legislation will be an added advantage.


Regulatory Compliance Officer for the client, herein after referred as the Bank

Take ownership and maintain bank's policies and procedures

The candidate is expected to undertake regulatory horizon scanning and communicate any changes that affect the business

Provide legal support for business including assistance with drafting and negotiating agreements and regulatory responses and liaise and take ownership of relationship with external lawyers

Compliance with GDPR, and other Data Protection legislations

Regulatory Compliance

Establishing and maintaining the universe of regulations applicable to the Bank

Mapping of applicable regulations to all areas of the Bank

Horizon Scanning: keeping abreast with the new regulatory changes and identifying the areas where the new/changes in the regulations are relevant

Advisory Capacity: advice on new regulatory changes/changes in the current regulations and its application to the relevant areas

Monitoring activities: carry out oversights on effectiveness and adequacy of regulatory compliance on a Risk based approach

Reporting to Board and management Committees with respect to regulatory changes; findings and recommendations based on monitoring reports

Maintaining a log of regulatory breaches and reporting of breaches to Senior Management, Boarding and Management committees and to regulators where applicable

Legal Role

Carries out duties of "Legal Adviser" in accordance with the Legal Department Policy and Procedures Manual in place

Review, draft, negotiate and approves all legal documentation for the UK branch and subsidiary (e.g. key IT systems/operations/equipment/advisory work contracts), all marketing material and all corporate and individual loan, facility and Treasury/ISDA, and documents required inter-Bank, but excluding personnel and employment contracts, documents drafted by external lawyers appointed and instructed by the Bank

Coordinate, instruct and monitor external lawyers in the UK, ensuring effective representation of Bank's interests and act as pro-active adjunct to external legal team, providing primary Bank contact for instructions and decisions in all actual or potential litigation cases involving the Bank, including settlements. Advice on extra-territorial issues and enforcement as required

Select, instruct and monitor legal and other professional advisers who would act on behalf of the Bank in legal matters to assist in the above or as required, and negotiate the level of their fees, reporting to the Head of Legal & Compliance, as appropriate, on progress and recommend course of action. Conduct on-going review of the panel of external legal advisers, recommending additions/removal to Head of Legal & Compliance

When requested, provide English law advice and liaises with external experts to assist Group Head Office

Data Protection

Review and update the Data Protection policies and procedures

Inform and advise on changes of data privacy laws and implications to business processes

Create and maintain data privacy policies and procedures in conjunction with business stakeholders

Manage a program of awareness and training to develop a data privacy culture in the Bank

Review data privacy clauses in client terms and supplier contracts

Review, assess and priorities the delivery of Subject Access Requests, liaise with ICO when required

Lead a Personal data incident response and breach procedure

Provide a strategic Data Privacy compliance report to Board, on an agreed periodic basis

Any other responsibilities assigned by Head of Legal & Compliance from time to time


Attention to detail

Good interpersonal skills

Excellent communication skills

Good research and problem-solving skills

Sound knowledge and experience of GDPR and other data protection legislations

At least 10 years of Banking experience with over 5 years of working within Legal & Compliance function

Graduate Degree

Person Specification

Experience in a compliance and legal leadership role ideally within mid-sized international banking environment

Excellent written and verbal communication skills

Excellent working knowledge of Regulations

Sound knowledge of GDPR is desirable but not essential

Strong analytical skills
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