Overview

Support Compliance Monitoring Manager with delivery of the CMP and aspects of Compliance oversight to help ensure the Bank and its employees are compliant with regulatory requirements, data protection, internal policies, and procedures.

Client Details

The client is an award-winning bank, providing Real Estate focused Wealth Management solutions, Commercial Real Estate Finance, and savings products. They have also recently launched a new digital offering that this role would be heavily involved in.

Description

Compliance Monitoring:

  1. Conduct the bank’s Compliance Risk Assessment to inform the monitoring plan
  2. Ensure that actions raised as part of monitoring are tracked, chased and escalated as appropriate
  3. Support the Compliance Monitoring Manager in developing, implementing and maintaining a risk-based Compliance Monitoring Framework, which clearly defines the Compliance Risk Universe.
  4. Responsible for leading the maintenance of the Annual Compliance Risk Assessment (ACRA) and the associated Compliance Monitoring Plan. Discussion of the findings with Head of Compliance and assisting in issuing the Compliance Monitoring Report findings to the business including CEO, ExCo and Audit Committee.
  5. Responsibility for maintaining and monitoring adherence to key compliance policies, this includes maintaining relevant registers e.g., restricted investment, conflicts, and breaches registers.
  6. Maintain a complete audit trail of all monitoring activities to ensure review can be reperformed based on data held.
  7. Provide input to the quarterly refresh of the monitoring plan, highlighting areas for the Compliance Monitoring Manager to consider.

Advisory:

  1. Regulatory change
    1. Monitor for regulatory developments, recording and escalating as appropriate
    2. Ensure the wider team are aware of new developments as relevant to their roles
  2. Maintain a log of all Compliance activities including:
    1. Conflicts of interest
    2. Breaches

Profile

  • Minimum 3 years working within a central Compliance function
  • Previously conducted compliance monitoring, or a banking audit role, ideally overseeing Wealth Management
  • Effective communication and influencing skills with ability to build relationships.
  • Broad and pragmatic thinker, capable of quickly interpreting information and presenting arguments in a clear and reasoned manner.

Job Offer

£40,000 to £45,000

Company Benefits

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Page Personnel Finance

£35,000 – £45,000 per annum

Permanent

Associate