Full job description



Compliance Manager
*Ensure ongoing compliance with FCA, PRA, and other relevant regulatory requirements.
*Monitor regulatory developments and assess their impact on the bank.
*Develop and maintain compliance policies, procedures, and controls.
*Support the implementation of new regulatory initiatives and change programmes.
*Advise business units on regulatory obligations and compliance requirements.
Compliance Manager
*Develop and execute the Compliance Monitoring Programme (CMP).
*Conduct compliance reviews and thematic assessments across business functions.
*Assess the effectiveness of policies, controls, and governance processes.
*Monitor compliance breaches and oversee remediation activities.
*Provide independent challenge to business practices where regulatory risks are identified.
Compliance Manager
*Support the bank’s conduct risk framework.
*Monitor customer outcomes and fair treatment practices.
*Assess compliance with Consumer Duty requirements.
*Review customer complaints, vulnerability frameworks, and product governance arrangements.
*Escalate customer detriment risks to senior management.
Compliance Manager
*Support Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF), and sanctions compliance programmes.
*Oversee Know Your Customer (KYC) and Customer Due Diligence (CDD) processes.
*Monitor financial crime controls and escalation procedures.
*Support suspicious activity investigations and reporting processes.
*Work closely with the Money Laundering Reporting Officer (MLRO).
Compliance Manager
*Support the bank’s compliance risk assessment framework.
*Maintain compliance risk registers and action plans.
*Assist with regulatory inspections and supervisory reviews.
*Participate in governance committees and working groups.
*Support the preparation of board and executive committee reports.
Compliance Manager
*Act as a key point of contact for regulators when required.
*Support responses to FCA and PRA information requests.
*Assist with regulatory visits, audits, and reviews.
*Monitor remediation plans arising from regulatory findings.
*Ensure timely regulatory reporting and submissions.
Compliance Manager
*Draft, review, and update compliance policies and procedures.
*Conduct regular policy reviews to ensure regulatory alignment.
*Provide guidance to employees on policy implementation.
*Maintain a robust compliance control framework.
Compliance Manager
*Deliver compliance and regulatory training programmes.
*Promote awareness of compliance obligations and ethical standards.
*Support Senior Managers & Certification Regime (SMCR) requirements.
*Assist in maintaining employee regulatory competency frameworks.
Compliance Manager
*Build strong relationships with business leaders and control functions.
*Collaborate with Risk, Legal, Internal Audit, Operations, and Finance teams.
*Provide practical compliance advice while balancing business objectives.
*Support business projects and product development initiatives from a regulatory perspective.
Compliance Manager
*Minimum 5 years’ experience in banking compliance, regulatory compliance, or financial services compliance.
*Strong knowledge of FCA and PRA regulations.
*Experience operating within a regulated banking environment.
*Understanding of:
*Conduct Risk
*Consumer Duty
*SMCR
*AML and Financial Crime regulations
*Data Protection and GDPR requirements
*Experience conducting compliance monitoring reviews.
*Strong analytical, investigation, and report-writing skills.
*Excellent communication and stakeholder management abilities.
Compliance Manager
*Experience within retail, commercial, corporate, investment, or challenger banking.
*Knowledge of:
*Basel III / Basel IV
*Operational Resilience requirements
*Consumer Credit regulations
*Payment Services Regulations
*Open Banking frameworks
*Wholesale Conduct requirements
*Previous regulatory engagement experience.
*Experience managing compliance teams or projects.
Compliance Manager
Bachelor’s degree in Law, Finance, Economics, Business, Risk Management, or a related discipline.
Compliance Manager
*International Compliance Association (ICA) Diploma in Governance, Risk & Compliance
*ICA Advanced Certificate in Regulatory Compliance
*Chartered Banker Institute qualification
*CISI Compliance Qualification
*ACAMS Certification
*Professional Compliance Certification (PCC)
Compliance Manager
*Completion of Compliance Monitoring Programme activities.
*Number and severity of regulatory breaches.
*Regulatory examination outcomes.
*Timely closure of compliance actions and remediation plans.
*Compliance training completion rates.
*Effectiveness of financial crime controls.
*Consumer Duty outcome measures.
*Complaint and conduct-risk trend indicators.
*Internal Audit and regulatory findings management.
Compliance Manager
*Immediate in-person interviews
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