The role is Temporary for 3 months initially and potentially outside IR35 however this cannot be confirmed as yet. Rate of pay will be attractive for the successful candidate.

Briefly the duties are as follows;

  • Experienced in running a 2nd LoD Compliance function, covering both advisory and monitoring (assurance) activities
  • Technical knowledge in Banking and/or Payments regulation - wealth/asset management, insurance, AML/KYC not relevant
  • Capability to handle key stakeholders, including representing regulatory view at committees and steercos and agreeing recommendations/actions from monitoring work
  • Proven engagement with other lines of defence (business and Audit) as well as other 2nd line teams (Risk, FCP, Legal etc)
  • Ideally experience in helping co-ordinate preparations for regulatory assessment visit (PRA expected visit in March/April)

  • To liaise, as required, with relevant Senior Management internally
  • To manage the provision of regulatory advice within the Bank; both new regulation and ad hoc advice requests
  • To create, implement, and manage a risk-based Compliance Monitoring Programme
  • To write, and where requested, present CMP reports to relevant Committees, including key departmental metrics
  • To ensure that all internal and external regulatory returns (excluding Finance returns) are completed in a timely and accurate manner
  • To manage the Compliance Department Risk Register
  • To manage and support those employees within the Dept reporting to the CMP Manager

Necessary experience or qualifications:

  • An undergraduate qualification or equivalent is preferable.
  • A relevant industry qualification is preferable.
  • Demonstrable UK experience dealing with High Net Worth clients in private banking, investment management or financial planning would be highly desirable.
  • Demonstrable UK Compliance experience in a financial services company dealing with High Net Worth Clients would also be highly desirable.
  • Demonstrable experience of effective communication with all levels