Compliance & Financial Crime Manager

Compliance & Financial Crime Manager

Our client, a City based challenger bank are looking to recruit a strong all-rounder as their new Compliance & Financial Crime Manager, perm up to £70k.

* Manage successful delivery of the Audit Committee approved compliance monitoring plan
* Assist with development of the bank’s overall compliance framework and culture
* Manage AML and financial crime matters for the bank
* Ensure the bank operates within regulations set out by relevant governing bodies
* Provide guidance and advice on regulatory compliance and financial crime matters to all areas of the bank
* Assist with the development of the Bank’s financial crime monitoring systems and processes
* Work closely with Senior Management (SMF16/SMF17)


* Contribute to the creation, implementation and delivery of a comprehensive, risk-based compliance monitoring plan covering relevant regulatory requirements
* Perform thematic reviews (as determined within the above plan), producing risk based and well-presented compliance reports to Exec level
* Implement the compliance and financial crime framework for the Bank, ensuring appropriate systems and controls are in place to prevent regulatory breaches and reduce financial crime risks. Where necessary, undertake investigations as required.
* Maintain detailed knowledge of relevant rules and legislation, and be aware of developing regulation providing early warning and action plans to Exec where required
* Develop and maintain appropriate compliance policies
* Complete all types of suspicious activity investigations in a professional and timely manner and to a consistently high standard, producing reports that are suitable for senior management and external bodies, including Financial Conduct Authority (FCA) and National Crime Agency (NCA).
* Develop conduct, compliance and financial crime risk training and awareness across the firm through various communication methods, ensuring that staff remain fully informed of relevant industry and regulatory developments
* Assist the Director of Compliance with the production of clear and to-the-point management information for the Executive and Board.
* Support the Director of Compliance and MLRO in delivering an efficient conduct, compliance and financial crime risk management framework.
* Maintain the Complaints database and collate the half-yearly FCA complaints report
* Identify any areas of concern or areas for review/update to Financial Crime Policies, business procedures, training initiatives and the like and escalate/action accordingly

Must have held a senior position with relevant compliance responsibilities within a regulated financial services firm, preferably a bank authorised by the PRA and regulated by the PRA and FCA. Must be able to demonstrate competent knowledge and understanding of current law and regulation applicable to the following compliance areas:

* systems and controls
* financial crime
* data protection and data security
* complaint handling
* TCF and conduct risk requirements

Preferably educated to degree standard and ideally have relevant compliance professional qualifications.
The ability to remain calm and professional under pressure and to take a pro-active and positive approach to problem-solving and resolving issues is essential. This role will involve liaison and engagement with regulators, law enforcement and senior management and so logical thinking and good, professional communication skills are a must.

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