Assistant Manager - Legal & Compliance

We are inviting applications for the position of Assistant Manager – Legal & Compliance at an International Global Bank based in Harrow.

Main Responsibilities

The candidate will be part of the Legal & Compliance department and will primarily coordinate with external advisors regarding legal, regulatory compliance, and related matters across the Bank.

Job Responsibilities

1. Liaise with external advisors on legal and regulatory compliance issues arising from the Bank\’s UK operations.
2. Advise the Business on routine legal and regulatory compliance matters.
3. Draft and review compliance policies, procedures, and controls, providing guidance on related queries.
4. Maintain the Regulatory Correspondence Register and supporting documentation.
5. Provide accurate responses to Courts, Police, DWP, Liquidators, HMRC, Regulators, and other enforcement agencies within designated timeframes.
6. Conduct horizon scanning and map regulations across different Bank functions.
7. Review monthly legal court orders and information requests for the Legal & Compliance Committee meetings.
8. Update Compliance, Business, and Operations teams on regulatory changes.
9. Advise on legal issues related to the Bank\’s UK operations.
10. Review the Legal and Conveyancing Panel annually and communicate with external service providers as needed.
11. Handle ad hoc legal matters as they arise.
12. Approve financial promotions.
13. Oversee and monitor Legal & Compliance activities.
14. Compile reports for senior management.
15. Review outputs from third-party vendor systems.
16. Participate in ad hoc projects and tasks related to Legal & Compliance as assigned by the Head of Legal & Compliance.

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