Our client, a boutique banking group specialising in retail and SME banking is looking to appoint a Senior Compliance Manager & MLRO to join their expanding group. This is a brand new position/headcount for the bank, so a fantastic opportunity for the incumbent to make the position their own.
Main responsibilities will include;
• Manage compliance support for the FCA registered companies within the Group
• Actively work to ensure that there are adequate and effective controls in place to mitigate against regulatory, reputational, legal and operational risks;
• Monitor and manage the compliance and operational risk aspects of outsourced arrangements
• Act as Money Laundering Reporting Officer for UK operations;
• Act as coordinator of Data Protection matters for UK operations;
• Support the Head of Risk and Compliance and other Senior Managers in discharging their duties under the Controlled Function and Senior Managers Certification Regimes.
• Drive compliance with all UK legislation, regulation and applicable codes of practice in the markets in which we operate (excluding company law and employment law);
• Identify potential areas of compliance vulnerability and risk – develop/implement the corrective action plan for resolution of problematic issues and provide general guidance on how to avoid or deal with a similar situation in the future; Implement effective issues and actions tracking, with appropriate escalation and reporting, for open risks;
• Provide management, ARCC and Board with an opinion on the internal regulatory controls within the Group through regular and appropriate reporting;
• Maintain and analyse key risk data in order to inform and support reporting on internal regulatory controls;
• Review and analyse new legislation and regulation, engage with the business in order to assess the impact, plan the implementation of regulatory change and embed within company policies and procedures;
• Detailed working knowledge of FCA and PRA rules, particularly in relation to Banking, Consumer Credit (CONC) and/or mortgages (MCOB)
• Detailed working knowledge of AML rules and associated guidance;
• A systematic approach to work with demonstrable ability to work independently and deliver to deadline, whilst maintaining attention to detail
• Excellent verbal and written communication skills, with experience of presenting to senior management and internal committees.
Please apply or contact Catherine Jack to arrange a confidential discussion 07450425790Apply Now
£90,000 plus benefits
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