Corporate Compliance Manager
Job Summary/Description
- Provide advice on regulatory matters, including thematic reviews, exams and inspections.
- Serve as the project manager on FCA and PRA exams and reviews as well as certain compliance program initiatives.
- Support and prepare staff for meetings with regulators and auditors.
- Assist in the preparation of regulatory related and requested documentation; regulatory audits and exams, ad-hoc requests, required reporting.
- Draft letters and related documentation to be provided to regulators and internal/external auditors.
- Serve as a reviewer on documents that will be provided to regulators and auditors to ensure consistency and quality.
- Assist/participate in cross-company audits, initiatives, and inter-company related projects; includes regulatory analysis, business line documentation coordination and collection, preparation of correspondence and guidance on documents/letters.
- Serve as the point person responsible for new/changes to UK regulations, ensure that the business aligned teams are aware of the new/changes regulations and assist them, as well as the business, in implementing the necessary changes to comply.
- Manage and mentor junior staff to ensure that their work is completed on time and is of high quality
Managerial
- A detailed understanding of the competence of the staff reporting to you and their responsibilities.
- Ensure staff have clear lines of reporting, authority levels, objectives and progress is reviewed regularly in line with Company policy.
- Develop effective working relationships and communications with staff and ensure that staff are motivated, developed and supported.
- Ensure that appropriate management information is produced and reviewed at appropriate intervals
- Support a culture of effective challenge to ensure appropriate governance.
Ideal Candidate Profile:
- Must have experience within the financial services industry within a Compliance role.
- A strong knowledge of the existing and forthcoming UK regulatory frameworks is essential.
- We are looking for a proactive and dynamic individual who can present the right degree of firmness and challenge to the business.
- Proven ability to draft and edit correspondence and compliance related documentation
- Good analytical and interpretative skills, in particular, as they relate to United Kingdom Financials Services regulations, as well as EMEA based regulatory schemes.
- Experience in project management and the corresponding administrative tasks required to implement and close out a project
- Compliance, legal or regulatory background required
- Excellent inter-personal skills; the ability to challenge the business and motivate firm and employee adherence.
- Ability to prioritise work product required. This includes the ability to work on several projects and/or tasks at the same time and on a daily basis.
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