A globally renowned Banking organisation
The Compliance Manager - Regulatory Monitoring and Testing - Global Liquidity & Cash Management role is based within the bank's Regulatory Compliance Monitoring and Testing Programme. The purpose of the team is the execution of Regulatory Compliance Monitoring and Testing policy and procedures in order to provide assurance that the business is operating in line with relevant laws, regulations, codes and group standards. Responsibilities include, but are not limited to, undertaking thematic and targeted reviews of group's businesses operating in country, utilizing small to medium sized enterprise knowledge in the Regulatory Compliance Monitoring and Testing risk environment to support the business, and identifying and make decisions on how to implement changes that mitigate risks that may result in the first and second Lines of Defence (1 &2LoD) performing their role more effectively. This is to help achieve globally consistent and high
quality monitoring activity.
The role of the Compliance Manager - Regulatory Monitoring and Testing - Global Liquidity & Cash Management is to manage the completion of the Global Liquidity & Cash Management (GLCM) European Regulatory Compliance Monitoring and Testing monitoring plan, assisting regional and local business line leads as appropriate, and meeting local Regulatory Compliance requirements. In addition, support completion of the Commercial Banking European Regulatory Compliance
Monitoring and testing monitoring plan across the region as directed and based on changing resource requirements.
Your responsibilities will include:
* To support the Business by providing specialist monitoring assistance as required.
* Conduct periodic monitoring of key Regulatory Compliance risks across Global Liquidity &
Cash Management business lines as directed by the regional Regulatory Compliance
Monitoring and Testing team
* Proactively identify key emerging compliance risks across all Regulatory Compliance
categories and interface appropriately with other Regulatory Compliance teams and senior
* To provide innovative and effective solutions based on Small to medium sized enterprise
knowledge that assists the Business Function.
* Proposing, managing and tracking the resolution of subsequent monitoring findings.
* Design and conduct thematic and targeted reviews
* Oversee and develop junior staff and provide support in review/issue closure where required
The ideal candidate for this role will have:
Relevant product knowledge including knowledge of Good understanding of the Global
Liquidity, Cash Management, Transaction Banking regulatory environment and products
* Experience working in relevant environments, i.e. Good understanding of Regulatory
Compliance requirements and risk-based monitoring techniques;
* Understanding of governance, risk management and control frameworks
* Experience working in relevant market/context, i.e. Good knowledge of the Financial Conduct
* Past working experience in a relevant role, i.e. Varied business and regulatory experience,
the latter acquired via Compliance roles and, or time with a regulator
* Experience of creating and deploying comprehensive business/operating plans which
consistently deliver desired results
In addition to the details listed above, the ideal candidate will have
* Excellent planning, prioritisation and documentation skills are essential;
* Enthusiastic, pro-active, self-starter with a drive to deliver high quality monitoring standards;
* Effective and concise verbal and written communication skills;
* Lateral, creative thinker with good problem solving and analytical skills;
* Good quantitative and qualitative analytical skills; and
* High level of professional and personal integrity.
This role represents an excellent opportunity to work with a world renowned business, become part of its culture and secure a long term future where there will be ample opportunity to grow and develop on a professional basis. You will have key responsibilities in managing the delivery of the relevant monitoring plan for this role alone. The role is a complex and in-depth piece which involves numerous individual and reporting lines. The opportunity will allow you to have an immediate impact on the business and quickly establish yourself within you reporting lines.
Please quote CGL1611-164 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.
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