Job Title: SENIOR COMPLIANCE MANAGER - Corporate Banking


Reference:AJB JB IB 77


Date: 22 Jul, 2020

Location: London


Assignment Profile:

Our client is a highly regarded Banking institution with a global presence. They are seeking an experienced compliance manager that will effectively act as a Deputy Head of Compliance for the department and that can interact with the various business units and external stakeholders and continue to promote a healthy and respected Compliance culture The successful candidate will act as a senior function/business/product manager and be responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the company program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures. Duties and Responsibilities: • Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for the company’s clients, products and geographies in a succinct and clear manner; provide direction and guidance on the programs. • Serving as a subject matter expert on the department’s Compliance programs. Provides expert guidance on function/business/product regulations on a real-time basis to manage compliance risk. • Staying abreast of relevant changes to rules/regulations and other industry news • including regulatory findings. • Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product. • Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact. • Advising function/business/product management and personnel on regulatory and compliance issues and provide credible challenge. • Participating in industry groups and trade association working groups or other forums. • Leading initiatives and managing high-impact special project work streams with a • results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements. • Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit. • Designing and lead compliance and control reviews. • Partnering with other teams and global functions, including Legal, Risk, • Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance.

Candidate Profile:

• Bachelor’s degree • Minimum 7 years of Investment Banking/Brokerage or experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof • Compliance Expertise of Compliance laws, rules, regulations, risks and typologies; • Excellent written, verbal and analytical skills • Must be a self-starter, flexible, innovative and adaptive; • Highly motivated, strong attention to detail, team oriented, organized • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging • Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level • Experience in managing regulatory exams and relationships with examiners, auditors, etc. • Awareness of regulatory requirements including local and US laws, international and industry standard

Consultant: Jonathan Banjo


Consultant Email: jbanjo@ajbexecutivesearch.co.uk


Salary:Circa £100-120,000 Plus Benefits and Bonus


If you feel you are a suitable candidate for this position please contact Jonathan Banjo

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