Senior Compliance Manager – Private Banking – London
Senior Compliance Monitoring Manager is needed by a Global Private Bank. This bank boasts of having one of the largest compliance teams within the industry and they are continuously increasing due to the ever increasing regulatory changes and scrutiny of the Financial Services. With offices located around the World, their operations will see you exposed to not just global operations but different business areas within the business.
The team is still increasing due to business growth and various opportunities open to the current team (i.e. promotions, opportunities into the business and across to other business functions). With this in mind; a number of positions are now open. This role will be based in the London and will report to the Head of Compliance Monitoring.
The main scope of the role is to carry out the Compliance Monitoring plan in accordance to the FCA rules (TC, BCOBs, SYSC); with a remit covering Global Banking, Private Banking, Global Markets and Global Asset Management.
Key Responsibilities:
- You will also be required to identify risk issues that impact the business.
- Assist in the preparations of the Monitoring plan and the compliance risk assessments
- Liaising with senior stakeholders in the business and maintain a collaborative working relationship with other Compliance teams.
- Carrying out reviews, planning, complying results, identifying the risks, making recommendation to the business and write a report to present to the business.
- Deputise for the Head of Monitoring when and wherever necessary.
To be considered for these roles; the prospective candidate should have the following (or equivalent):
- University degree/Professional qualification.
- Either current or historical monitoring, (where undertaking reviews to identify key risks and analyse results).
- Good working knowledge of the FSA Handbook and the regulatory environment
- Demonstrate managerial experience and strong interpersonal skills.
- Proven report-writing skills.
- Good understanding and knowledge of services products offered in Private banking (preferable).
If you would like to know more about this position (or similar positions) please give me a call on 0207 092 3241 or send an email on d.bowenwright(at)eamesconsulting.com. Also please feel free to forward to someone that you know that will be interested in this role or similar roles.
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