At a Glance
- Tasks: Lead compliance activities and ensure regulatory adherence in a dynamic banking environment.
- Company: Join an international finance bank with a strong presence in London.
- Benefits: Competitive salary, professional development, and a chance to shape compliance strategies.
- Other info: Exciting opportunity for career growth in a fast-paced environment.
- Why this job: Make a real impact in the financial sector while enhancing your compliance expertise.
- Qualifications: 5+ years in compliance, legal or auditing background preferred.
The predicted salary is between 60000 - 84000 £ per year.
THE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services.
THE RESPONSIBILITIES:
- Carry out regulatory and various other compliance advisory, monitoring and ad hoc activities, in particular, by completing delegated tasks by the Head of Compliance.
- Business Partner to business areas allocated by Head of Compliance.
- Responsible for SMCR scheme.
- Writing reviewing and implementation of Compliance Policies
- Responsible for Horizon scanning, assessing impact and advice to business of regulatory changes and running the Regulatory change working group.
- Preparing guidance and training on new and existing regulatory and certain legal requirements (and on any remedial action to address identified existing shortcomings) to business units.
- Departmental procedures and documentation templates (including Key Facts and client agreements and notices) and delivering or approving training.
- Approval of financial promotions and other communications
- Advice and oversight of Consumer Duty for business areas.
- Management of complaints for business areas.
- Regulatory reporting tasks as allocated
- Responsible for preparing and reporting on KRI’s as allocated by Head of Compliance
- Responding to ad hoc requests for advice and assistance.
- Reviewing and reporting on adherence to regulatory and legal requirements in accordance with the annual Compliance Monitoring Programme or as other risk based monitoring requirements are identified.
- Maintaining records of regulatory change and compliance department recommendations for changes to existing policy or procedures, including action being taken and confirming completion of that action.
- Drafting regular reports for management, including the Operational Risk, Management and Audit & Compliance Committees and Group Compliance.
- Preparing or reviewing regulatory periodic or ad hoc returns, (especially fee data, CMAR, controllers, close links, complaints, RDR & MMR) including assistance with thematic review responses.
- Advising and liaising with operational departments to implement changes in operational processes arising from new regulations, business developments, and compliance review findings.
EXPERIENCE REQUIRED:
- A total of 5+ years’ professional experience within Compliance is required.
- Desirable background in legal or compliance or auditing
- Desirable to have Compliance qualifications/ CISI qualification
Please note that for further information, you should contact the relevant person.
Senior Compliance Manager - Private banking / Wealth management, 6 month FTC in City of London employer: Compliance Professionals
As an international corporate and specialist finance bank with its European hub in London, we pride ourselves on fostering a dynamic work environment that encourages professional growth and collaboration. Our commitment to employee development is matched by our comprehensive benefits package and a culture that values innovation and compliance excellence, making us an exceptional employer for those seeking meaningful careers in private banking and wealth management.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Manager - Private banking / Wealth management, 6 month FTC in City of London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Compliance Professionals looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Compliance Manager - Private banking / Wealth management, 6 month FTC in City of London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Professionals. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Professionals
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Professionals’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
