Compliance Manager (VP)
Overview
My client is a bank experiencing growth through its excellent recent track record and rolling out a diversified derivatives product offering. Reporting into the UK Head of Compliance - the role holder will be tasked with taking on the full compliance remit - from advisory role to writing and delivery compliance training, reviewing policies and procedures, registration/deregistration of approved persons etc..
This is a new role in a niche SME business, so somebody who can build on the compliance function and make it more sophisticated to cope with changing regulatory requirements has the opportunity to make a significant impact.
Key functions include:
- Raise awareness of compliance obligations and define, implement and maintain a robust compliance program.
- Develop and maintain the policies and procedures to support the compliance program.
- Provide expertise in regulatory and non-regulatory compliance management.
- Manage the processes for Approved Persons, EMIR MiFID reporting, Client on Boarding, KYC AML, Compliance Conduct Regulatory Reporting and Prudential Compliance Reporting oversight and control.
- Keep up to date with UK compliance regulations and provide the business with a sound and pragmatic interpretation of regulatory changes.
- Develop and deliver training to support the compliance program.
- Assist the Compliance Officer with complex compliance issue and projects
- The successful candidate needs to have an outstanding and demonstrable record within Compliance with experience covering capital markets and the product suite therein including coverage of derivatives investment banking and corporate lending.
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