Senior Compliance Manager, Advisory Compliance recruitment

PURPOSE OF ROLE

To act as a Compliance Advisory Partner to teams within the Capital Markets and Strategic Transactions business units.  The role requires individuals to have a deep understanding of Capital Markets and Strategic Transactions activities, the regulatory requirements relating thereto, first-class relationship management skills and the ability to drive compliance culture within the business. 

CORE RESPONSIBILITIES

* Establish strong relationships with the designated business area and drive forward compliance culture within the organisation, at all times ensuring the business owns compliance risk.
* Manage the business area to ensure that all business undertaken meets regulatory requirements and that the Business’s responsibilities are correctly discharged.
* Provide advice, guidance, direction and interpretation as regards compliance issues across the designated areas of the business.  This should include participation at business team meetings in order to provide timely and pragmatic Compliance advice to aide compliant business development.
* Ensure that effective monitoring and control systems are in place in order that all compliance related issues are readily identified and remedial actions implemented in order to minimise risk.
* Work with the business, the business unit control function and other compliance teams to develop regulatory risk assessments, document controls and monitoring plans that are agreed by all stakeholders.  This includes the facilitation of monitoring activity to be performed in relevant business areas.
* Provide Compliance input and advice in order to facilitate the development of new products and services through attendance at Complex Transaction Review (CTR) and New Product Approval (NPA) meetings as applicable, including assessing the implications arising from the development of new products.
* Where appropriate define and implement compliance procedures for new products/services, assessing inherent risks before implementation, and providing advice and guidance in order that issues may be considered and resolved.
* Review and, where appropriate, sanction recommendations for improvements to processes, practices and procedures ensuring all changes are effectively planned, communicated and implemented with the minimum of disruption and that changes are understood by all affected parties.
* Provide support to Senior Management in the interpretation of regulatory changes and their likely impact on processes, procedures, controls and products.
* Work with other compliance teams to ensure appropriate regulatory requirements are understood, communicated and controls/remediation strategies implemented.