Regulatory Compliance Manager in London

Working pattern: Hybrid (minimum 3 days in the office including Wednesday as a core day)

Reports to: Chief Risk and Compliance Officer

About Us: We are not your run-of-the-mill bank. It’s our people which makes us exceptional. Every individual here is valued - not just for what they do, but for who they are. We’ve built a culture rooted in purpose, passion, and a healthy dose of humanity. Joining Alpha Bank London isn’t just about a career - it’s about connection. You’ll collaborate with colleagues from all walks of life, building bonds that last and networks that matter. It’s this blend of international reach and local expertise that makes us strong. Whether you’re starting out or stepping up, you’ll find responsibility, variety, and experiences that go far beyond what a boutique bank or a corporate giant could offer alone. Together, we amplify ideas, share knowledge, and create impact. We believe in doing well and doing good. That means more than closing deals; it’s about making a difference for our clients, our communities, and each other. Because when one of us succeeds, we all succeed. Ready to make your mark? Let’s do it. Together.

Key Responsibilities:

• Carry out assessments and maintain the mapping table of the regulatory compliance rulebook against the Bank's activities, encompassing all applicable regulatory bodies.
• Manage and operate the Compliance monitoring programme.
• Manage the Compliance Risk Assessment Process.
• Conduct thematic reviews.
• Risk & Compliance Committee Issue follow up - Compliance findings tracker.
• Conduct periodic compliance monitoring from a 2nd line of defence standpoint, emanating from processes and controls identified from the Compliance risk assessment.
• Assist the SMF16 in providing advisory activities to the business areas on day-to-day matters as well as specific requirements.
• Prepare monthly management information relating to monitoring findings and other compliance matters and report into governance committees.
• Assist in the logging of, and investigation into, compliance related breaches.
• Assist in the investigation and logging of customer complaints, and registering of gifts and entertainment, personal account dealing, data protection matters and other compliance related items.
• Assist in Compliance policy creation and enhancements of procedures.
• Prepare various regulatory returns as relevant.
• Assist the Bank through providing Compliance expertise on initiatives or projects as needed.
• Support the broader Compliance team in day-to-day activities as requested.
• Support the wider business by promoting a compliance culture through interactive feedback from monitoring reviews.
• Assist the Banks' Data Protection Officer to ensure that ABL is compliant with the current legislation.
• Assist with any other compliance related tasks as per the SMF16's direction.

General Duties and Requirements:

• Ensure controls and procedures are implemented to maintain compliance with all regulatory requirements.
• Report any significant compliance failures to Senior Management on a timely basis.
• Consider areas where process can be improved and efficiencies made.
• Provide cover for duties as requested by management.
• Ensure timely, accurate and robustness of reporting prepared.
• Report operational risk events that occur as soon as possible.
• Keep up to date and familiar with relevant regulatory compliance concerns.

Compliance:

• Comply with the Bank's Conduct rules, as prescribed by the PRA and FCA including the most recent sixth conduct rule; "you must act to deliver good outcomes for retail customers."
• Maintain 'Fit & Proper' status required to fulfil role as a Senior Manager/Certification employee (if relevant).
• Comply with all relevant regulations as prescribed by the PRA and FCA including your role under the Bank's undertaking to Operational Resilience.
• Comply with the Bank's policies and procedures as laid out in the Staff Handbook, the intranet, and other sources.
• Manage all personal data and sensitive personal data in line with the General Data Protection Regulation and any associated Bank policies and procedures.
• Uphold the purpose, values, and behaviours of Alpha Bank London at all times.

What We’re Looking For:

• Relevant experience of regulatory compliance activity in a similar sized financial services firm.
• Relevant retail and MiFID experience desired.
• Very strong knowledge of FCA handbooks and associated requirements for Banking firms.
• Strong MiFID knowledge is essential and Payment Services Regulations desirable.
• Knowledge of banking operational procedure.
• Knowledge of 2nd line monitoring techniques.
• Ability to map regulation to business activity.
• Well-versed in monitoring techniques and risk assessment.
• High standard of administrative and organizational skills.
• Ability to question outliers.
• Ability to read regulation, interpret, assess and inform on findings.
• Analytical mindset.
• Ability to think for oneself and present solutions.
• Strong report writing and presentational skills.
• Ability to work in a team.
• Ability to communicate effectively across all levels, including executive management.

Why Join Us:

• Innovation - Be part of a team that embraces new ideas and continuous improvement.
• Collaboration - Work closely with experienced professionals who support your growth.
• Excellence - Develop your skills in a high-performing environment.
• Delivery - Contribute to meaningful projects and see your impact.
• Empowerment - Take ownership of your development and career progression.