Compliance Conduct of Business, Assistant Manager
Salary £40,000 - £45,000 per annum
Consultant Ben Litvinoff
Date posted 09 August 2018 2018-08-092018-10-08 banking UK Robert Walters United Kingdom
To advise and support senior management in understanding and acting upon codes, laws, regulations and policies, to meet the Compliance obligations of the Bank, whilst supporting the delivery of good Conduct, good customer outcomes and sustainable profits for our Business.
Key responsibilities for the position will include:
- To be able to provide ongoing specialist advice and guidance to the business and Compliance colleagues alike.
- To manage a team of Compliance Officials, to include; ongoing development of skills, knowledge, performance, and potential of individuals and team.
- To provide business colleagues with details of any upstream regulation and assisting them with assessing the potential impacts.
- To carry out annual risk reviews of appropriate higher risk business areas, to ensure all Compliance related risks have been correctly assessed and are being managed appropriately.
- To assist colleagues in the Monitoring team with scoping their reviews and guidance and advice on the regulatory impacts of any potential findings.
- Demonstrating sound judgement in the assessment of the management of compliance risks and their associated controls.
- Personally apply required Bank, Regulatory and Legislative Policy.
- Assist with the scoping, planning, development and delivery of Compliance projects.
- To participate in project related working/steering groups or other forums as appropriate.
- To help ensure that Data Protection obligations are being managed effectively.
- To undertake other duties within Compliance as required, and agreed with line management.
What you’ll need
- 2 years Compliance experience, however general banking experience will also be considered.
- An understanding of all aspects of UK regulation and the UK regulatory environment.
- An ability to assess regulation and provide business colleagues with specialist technical advice and guidance on how best to meet their various regulatory obligations.
- Strong leadership skills and the ability to manage and develop a small team, whilst being an integral part of a larger UK Compliance team.
- Strong Communication skills, both written and verbal and an ability to interact and influence at all levels of the organisation, including with members of Senior Management.
Please note: The Minimum Education requirements for entry is 5 GCSE passes (or higher), to include a pass in English and Maths. These 5 subjects must be achieved with a grade of A – C. Confirmation of this will be sought if successful for the role.
What else should you demonstrate?
As part of the selection process, the successful applicant will be expected to demonstrate the competencies reflected below.
2. Communication & Influencing
3. People Management
4. Planning & Priority Setting
5. Problem Solving & Decision Making