Senior Compliance Manager -Investments
Senior Compliance Manager - Investments (London/MK)
The Compliance function has a key role in helping Santander to manage and minimise its exposure to regulatory risk. This includes working with each division to ensure that Santander remains commercial whilst protecting the best interests of our customers and maintaining a high level of integrity in complying with the requirements of the FSA or other regulators.
The role-holder will be responsible for the execution of strategy and the development, management and delivery of compliance arrangements that facilitate the company's compliance with regulations. Requires a professional knowledge of the Compliance requirements and a thorough understanding of financial services industry and in particular investment and wealth business. Provides advice, develops new solutions and manages and motivates a number of individual stakeholders in line with overall business requirements with company policies. Supports the company in dealings with relevant regulatory bodies and key external stakeholders.
As a Senior Compliance Manager your skills and qualifications will ideally include:
* Relevant academic qualifications, e.g. university degree.
* Relevant professional qualification, ideally IMA, IMC or equivalent experience
* Experience of leading part of a team within a broader Compliance department and will have significant commercial experience.
* A thorough and broad understanding of financial services industry.
* An in-depth knowledge of wealth/investment management, preferably from within an large business in this sector
* A sound understanding of the external environment and up-to-date knowledge of latest trends, research and best practice.
* Good working knowledge of professional standards and codes.
* Good leadership and interpersonal skills, ability to communicate and influence at senior management level.
* Computer literacy and a good knowledge of relevant software.
* Proven track record in delivering results in a large financial services organisation environment
* Excellent analytical, interpretation, influencing and communication skills; ability to communicate and network effectively and influence top management and external parties
* Ability to analyse and evaluate complex issues, and sound judgement in determining appropriate actions/solutions
* Experience of owning and driving change in a regulatory environment.
* Demonstrated experience in developing relationships with senior management
As a Senior Compliance Manager your main responsibilities will involve:
With a focus on investment compliance (and wealth management):
* Respond to regulatory developments that impact the business and drive appropriate compliance standards and arrangements through the development of relevant policies, standards and protocols.
* Oversees the embedding of policies into business functions and ensure that divisional business policies are consistent with overall compliance policies.
* Act as an internal consultant by providing support and guidance to the business in the Compliance area of expertise and advise senior management on applicable regulatory requirements and ensure appropriate planned response through working with appropriate compliance subject matter experts.
* Undertake risk assessments through overseeing analysis of key performance metrics to identify high-level trends, risks and issues and/or identify and escalate compliance failures, recommendations that have not been actioned and other significant regulatory risk issues.
* Support the company in dealings with relevant external regulatory bodies and key external stakeholders, ensuring compliance to all relevant legislations and regulations
* Manage internal relationships with key stakeholders to deliver a better service to the business.
* Develop close working relationships with senior business managers in order to ensure they understand compliance obligations and regulatory requirements and implications in order to promote a culture of proactive risk management.
* Manage, motivate and develop individuals to ensure they have the capability to deliver the objectives set for the department.
* Train, develop and support the business on understanding compliance and regulatory affairs issues
* Deputising for the Head of Compliance at Senior Management Governance Forums.
* Undertaking risk assessments through overseeing analysis of key performance metrics to identify high-level trends, risks and issues, and/or identify and escalate compliance failures, unactioned recommendations and other significant regulatory risk issues.
* Raising compliance issues with business directors in order to ensure that appropriate management action is taken.
Santander welcomes applications from all sections of the community. Preference will be given to redeployees
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