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Assistant Manager, Legal & Compliance

Barbara Houghton Associates
Closing date
10 Jul 2022

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Contract Type
Full Time
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Our client is looking for an Assistant Manager for their Legal & Compliance team.
The Assistant Manager will be based in the Legal & Compliance department and will be primarily
responsible for co-ordinating with external advisors in regard to advice on legal,
regulatory compliance and related matters

The joint responsibilities of the role will be:

* Liaising with external advisors in regard to legal and regulatory compliance matters arising from the Bank's operations in the UK.

* Advising the Business on routine legal and regulatory compliance matters.

* Drafting/reviewing of Compliance policies, procedures and controls and responding with guidance on related queries.

* Maintaining Regulatory Correspondence Register and supporting documentation.

* To provide accurate and complete responses to Courts / Police/ DWP/Liquidators/ HMRC / Regulators /other enforcement agencies within the timeframe specified.

* Horizon scanning and mapping of regulations across different functions of the Bank.

* Monthly review of the legal court orders and requests for information for the Legal & Compliance Committee Meeting.

* Regulatory updates to Compliance, Business and Operations teams.

* Advising on legal issues arising from the Bank's operations in the UK.

* Reviewing the Legal and Conveyancing Panel on an annual basis and communicating with them on regular basis when business requires external services including legal opinions and litigation.

* Dealing with ad hoc legal matters from time to time.

* Approving financial promotions.

* Legal & Compliance oversight and monitoring activities.

* Compiling reports for senior management.

* Review output from third party vendor systems.

* Ad hoc projects and tasks related to Legal & Compliance, as allocated by the Head of Legal & Compliance.

Skills required:

* Attention to detail

* Good administrative skills

* Good interpersonal skills

* Good communication skills

* Good research and problem solving skills
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