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- Tasks: Lead compliance risk assessments and provide regulatory guidance in retail banking.
- Company: Join a well-established Global Bank with a strong reputation in the financial sector.
- Benefits: Enjoy a flexible work schedule with 4 days in the office and 1 day working from home.
- Why this job: Be part of a dynamic team shaping compliance practices and making a real impact in banking.
- Qualifications: Experience in regulatory compliance within retail banking is essential; knowledge of Consumer Duty is a bonus.
- Other info: Professional qualifications in compliance are advantageous but not mandatory.
The predicted salary is between 48000 - 72000 £ per year.
Location: London, UK
Employment Type: Full-Time, Permanent (4 Days a Week in the office, 1-day WFH)
Company Overview: An established Global Bank is looking to appoint an Assistant Vice President within its Compliance Advisory function covering the retail banking division of the bank.
What we are looking for: The successful candidate must have compliance advisory experience within the retail banking space. Experience in Consumer Duty is a massive plus.
Core Responsibilities:
- Lead the review and challenge of business-led compliance risk assessments and internal controls
- Support the development and implementation of Key Risk Indicators (KRIs) across relevant units
- Design, maintain and report on compliance metrics, dashboards, and heat maps
- Provide regulatory interpretation and practical guidance relating to payments, depositor protection (FSCS), and obligations under the PSR
- Monitor and evaluate upcoming regulatory developments
- Draft, revise and embed policies and internal frameworks aligned to new regulatory expectations
- Act as a senior compliance advisor, with robust knowledge of FCA requirements including COBS, MCOBs, BCOBS, CONC, DISP, SYSC, PRIN 12, and FSCS
- Offer day-to-day guidance and regulatory support to operational teams and business leaders
- Represent the Compliance function at governance meetings and contribute to product and service development from a regulatory lens
- Contribute to the creation and rollout of compliance training and internal awareness sessions
- Assist with team oversight, project delivery, and regulatory reporting initiatives
Requirements:
- Regulatory Compliance Advisory Experience within the retail banking space
- Knowledge of Consumer Duty is a massive plus
- Professional qualifications in compliance is a plus but not a requirement
- Strong understanding of conduct risk, consumer protection rules, and regulatory change management
- Excellent analytical and communication skills with the ability to simplify complex issues
- Confident report writer with the ability to influence and build relationships at all levels
- A proactive, team-oriented mindset with a detail-focused approach to problem solving
Contact Detail:
Marks Sattin (UK) Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land AVP - Regulatory Compliance Advisory
✨Tip Number 1
Network with professionals in the regulatory compliance field, especially those who have experience in retail banking. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Familiarise yourself with the latest regulations and guidelines related to Consumer Duty and FCA requirements. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to staying updated in this fast-evolving field.
✨Tip Number 3
Prepare to discuss specific examples from your past experience where you successfully led compliance initiatives or improved internal controls. Highlighting your practical knowledge will help you stand out during interviews.
✨Tip Number 4
Showcase your analytical skills by being ready to discuss how you approach compliance risk assessments and the development of Key Risk Indicators (KRIs). This will illustrate your ability to contribute effectively to the role and the organisation.
We think you need these skills to ace AVP - Regulatory Compliance Advisory
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance advisory experience, particularly within the retail banking sector. Emphasise any specific projects or achievements related to Consumer Duty, as this is a significant plus for the role.
Craft a Compelling Cover Letter: In your cover letter, clearly articulate your understanding of FCA requirements and how your experience aligns with the responsibilities outlined in the job description. Use specific examples to demonstrate your analytical skills and ability to simplify complex regulatory issues.
Highlight Relevant Skills: When detailing your skills, focus on your knowledge of conduct risk, consumer protection rules, and regulatory change management. Mention your experience in developing compliance metrics and dashboards, as these are key aspects of the role.
Proofread Your Application: Before submitting, thoroughly proofread your application materials. Ensure there are no grammatical errors and that your writing is clear and concise. A well-presented application reflects your attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at Marks Sattin (UK) Ltd
✨Showcase Your Compliance Experience
Make sure to highlight your previous experience in compliance advisory, especially within the retail banking sector. Be prepared to discuss specific examples of how you've led compliance risk assessments and implemented internal controls.
✨Demonstrate Knowledge of Consumer Duty
Since knowledge of Consumer Duty is a massive plus for this role, brush up on its principles and be ready to explain how you have applied them in your past roles. This will show that you are not only knowledgeable but also proactive in staying updated with regulatory changes.
✨Prepare for Regulatory Discussions
Familiarise yourself with FCA requirements and be ready to discuss how they relate to the role. Prepare to provide insights on how you would interpret regulations and offer practical guidance to teams, showcasing your analytical skills.
✨Exhibit Strong Communication Skills
As a senior compliance advisor, you'll need to influence and build relationships at all levels. Practice articulating complex compliance issues in a simplified manner, and prepare to demonstrate your report writing skills during the interview.
