THE COMPANY:
Our client is a leading international banking group based in the West End. They are looking for a Compliance Assistant Manager to support the Compliance function in maintaining and enhancing the Branch’s compliance framework.
THE RESPONSIBILITIES:
- Review, update, and maintain the Branch’s compliance procedures, and related documentation
- Coordinate with relevant departments to ensure procedures are reviewed periodically, appropriately approved, communicated, and implemented.
- Monitor outstanding procedure updates and follow up
- Maintain an accurate and up-to-date inventory of compliance policies and procedures
- Identify gaps or inconsistencies in existing procedures and recommend enhancements
- Support the implementation, administration, and ongoing maintenance of the Compliance Monitoring and Testing Programme.
- Conduct or coordinate compliance reviews and testing activities
- Identify control weaknesses and instances of non-compliance, and agree corrective actions
- Monitor remediation plans
- Prepare periodic reports
- Support the implementation and maintenance of the Branch’s risk and control framework
- Coordinate the annual Risk and Control Self-Assessment (RCSA) exercise
- Assist in monitoring applicable regulatory requirements
- Support the assessment of the impact of new or amended regulatory requirements
- Assist the Compliance Department in coordinating and managing reviews
- Assist in preparing management updates and responses relating to review observations, compliance gaps, and outstanding actions.
- Manage or coordinate projects delegated by the Compliance Head
- Support initiatives to enhance compliance processes.
- Perform other compliance-related duties
EXPERIENCE REQUIRED:
- Strong regulatory compliance experience in a generalist role ideally in a corporate banking environment
- Strong analytical skills
- Excellent written and verbal communication skills
- Experience in management information and reports
- Strong organisational skills
- Proficiency in Microsoft Office
For further information please contact Natalie Eshelby
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Compliance Assistant Manager employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
