UK Compliance Manager
Our client is a bank experiencing growth through its excellent recent track record and rolling out a diversified derivatives product offering. They are looking for a UK Head of Compliance MLRO (one position). This will fulfill both CF10 and CF11 duties. Strategic importance is placed on this role as the job holder will be the direct link with the FSA and the principal point of contact with the heads of the relevant market teams and business areas.
The role holder will be flexible and able to take 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, 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 the role their own.
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. It is not mandatory to be applying solely from a CF10 / CF11 role if a suitable level of seniority is apparent.
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