Human Resources Compliance Manager

The objective of the HR department is to advise, support and partner with the business to enable the Bank to achieve its strategic intent.

The constantly changing commercial and regulatory landscape heavily dictates the way the bank operates and evolves and our role in HR is to support the business in their people plans with hiring the right people, training them well and ensuring that our reward strategy aligns to the desired conduct and culture of the Bank.

Reporting to the Head of HR Services, the HR Compliance Manager is responsible for the operational delivery of HR compliance, regulatory and control activities across the employee lifecycle.

The role provides specialist ownership of the Senior Managers & Certification Regime (SMCR), Fitness & Propriety, background screening, risk and control activities, audit support , regulatory record keeping, In Addition, the role supports the Head of HR Services with operational oversight, service performance reporting, quality assurance and continuous improvement across HR Services.

The role strengthens resilience within HR Services, provides additional management capacity and supports the delivery of transformation, process optimisation and service excellence priorities.

• What you’ll be doing
• Regulatory Compliance, SMCR & Fitness & Propriety
• Manage the operational delivery of SMCR requirements, including SMF applications, annual certification and Fitness & Propriety processes
• Maintain accurate regulatory records, submissions, attestations and supporting documentation
• Act as the HR subject matter expert for SMCR, Certification Regime and related regulatory requirements
• Coordinate regulatory reviews, compliance monitoring activity and regulatory change impacting HR processes
• Produce management information and reporting relating to SMCR, Certification and Fitness & Propriety activities
• Work closely with HR, Compliance, Risk and business stakeholders to ensure regulatory obligations are met
• Identify, investigate and escalation issues, exceptions and regulatory risks as appropriate
• Manage pre-employment screening, regulatory vetting and periodic re-screening activities.
• Review screening results, investigate exceptions and coordinate appropriate escalation where required
• Ensure screening controls are operating effectively and consistently
• Monitor third-party screening provider performance and service levels
• Maintain accurate records, audit trails and supporting documentation
• Ensure screening processes remain compliant, efficient and audit ready
• Identify opportunities to strengthen controls and improve employee due diligence processes
• Coordinate HR risk and control activities, including KRIs, KCIs and annual RCSA activities
• Support Business Continuity and Operational Resilience activities across HR
• Coordinate responses to internal and external audit requests
• Track compliance audit, risk and control actions through to completion
• Maintain supporting evidence, control documentation and action trackers
• Support third-party supplier oversight and service performance reviews where required
• Provide reporting and insight on key compliance, risk and control matters impacting HR Operations
• HR Services Operational Oversight & Performance
• Support the Head of HR Services with the day-to-day oversight and coordination of HR Services activities
• Provide guidance and support to the HR Services team on process, compliance and control requirements
• Undertake quality assurance and four-eye reviews across key employee lifecycle processes
• Monitor service delivery, workload distribution, control effectiveness and operational risks, escalating issues where appropriate
• Coordinate service continuity, cross-training and resilience activities to maintain service delivery standards
• Produce and maintain HR Services operational performance metrics, dashboards and management information
• Monitor service levels, volumes, turnaround times, quality measures and key controls across HR Services
• Analyse trends, identify recurring issues and provide recommendations to improve efficiency, service quality and employee experience
• Provide regular operational performance reporting and insight to HR Operations leadership
• Support automation, process simplification and continuous improvement initiatives across HR Sevices
• Provide cover for the Head of HR Services on defined operational matters when required
• Trading Platforms & Regulatory Administration
• Manage HR administration activities relating to trading platforms and regulatory registrations
• Ensure timely processing of joiners, movers, leavers and organisational changes affecting trading platform access
• Maintain accurate records and undertake periodic reviews and reconciliations.
• Ensure data quality, process compliance and appropriate record retention
• Support reporting and information requests from internal stakeholders and control functions
• Maintain procedures and controls relating to trading platform administration and associated records
• What you’ll need to be successful
• Strong experience of delivering SMCR processes within financial services, including SMF applications, the Certification Regime and Fitness and Propriety
• Experience of maintaining accurate regulatory records, trackers, supporting evidence and regulatory submissions
• Experience of coordinating compliance monitoring, audit or regulatory change activity and tracking actions through to completion
• Experience working within HR Operations or HR Services in a regulated organisation
• Experience of managing background screening or other employee due diligence processes, including reviewing results and escalating exceptions
• Good understanding of risk and control principles and experience applying these within HR operations through reconciliations, quality checks, evidence management and reporting
• Experience working with senior stakeholders across HR, Compliance, Risk, SMF’s and NED’s
• Experience producing operational performance metrics and management information
• Knowledge, technical skills and expertise
• Good working knowledge of SMCR and relevant FCA and PRA requirements
• Good understanding of operational risk, controls, record keeping and issue escalation
• Good understanding of HR operational processes, controls and service delivery across the employee lifecycle
• Strong attention to detail with the ability to check information and documents for accuracy, consistency and completeness
• Strong organisation and prioritisation skills with the ability to manage competing tasks and regulatory deadlines
• Clear written and verbal communication skills with the confidence to raise issues and challenge incomplete or inconsistent information
• Experinces in using regulatory submission or record-keeping systems
• Sound judgement when handling personal, confidential and sensitive information
• Experience developing operational performance metrics and dashboards
• Strong Microsoft 365, Excel and reporting skills

Why should you join us?

ICBC Standard Bank Plc (ICBCS) is a leading financial markets and commodities bank, driven to deliver the right outcomes for our stakeholders, clients, counterparties and markets.

We benefit from a unique Chinese and African parentage and an unrivalled global network and expertise.

We’re headquartered in London, with operations in Shanghai, Singapore and New York.

We’re a diverse and close-knit global team.

We put people first, giving talented, self-driven professionals the flexibility, rewards and freedom to grow their expertise and realise their potential.

Our vison statement, "Be Yourself, Succeed Together" underpins our drive for an open and transparent culture which values difference, enabling everyone to thrive whilst being themselves.

We have an active E, D&I forum and we’re growing other employee network groups, including for women and neurodiversity.

We’re committed to the principle of equal opportunities. All applicants will be treated equally and will be considered on their merits and skills without discrimination.

What’s in it for you?

• Financial – market-based pay based on skills and experience, discretionary annual bonus, pension contribution 10% (employee contribution 5%), travel insurance, life assurance and income replacement insurance.
• Hybrid working – the option to work remotely up to two days per week, depending on the role.
• Family - 6 months maternity leave at full pay, 4 weeks paternity leave at full pay and enhanced shared parental leave pay.

Coaching for family leave returners and access to emergency care via My Family Care.

Paid fertility and miscarriage leave.

• Wellbeing - private medical insurance, Bike2Work scheme, health and fitness subsidy, holiday exchange, Employee Assistance Programme and menopause policy.
• Community – paid volunteering leave and Give As You Earn scheme. Vibrant CSR and engagement forums and fundraising for our charity partners.
• Development – a suite of opportunities to build the skills you need to excel in your role
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