This is a key leadership position within the UK Compliance Department, managing a team of 5 and reporting to the Head of Compliance UK. This person will manage the business and functions advisory Compliance teams (including the UK Surveillance Function).
The role will be instrumental in supporting the Head of UK Compliance in driving forward ongoing enhancements to the UK Compliance framework.
This person will take a proactive role in identifying the applicable rules and regulations impacting London Branch and maintaining a framework to provide that this is kept up to date and that it is clear who has responsibility for which areas and compliance with the requirements. Where necessary, the incumbent will work with the Control team to develop effective routine compliance risk assessment processes.
They will coordinate Compliance investigations as and when required, establishing protocols for investigations and the reporting of results. In addition, they will act as the designated Compliance Officer for all non-business areas/functions in the UK.
Candidates will bring experience managing complex compliance projects, and dealing with front office and support functions in an advisory role.
Product knowledge is key, in order to be able to best support business heads. Past experience of enforcement actions would be an advantage.
Knowledge of FCA/PRA rules and regulations and experience of dealing with UK regulatory expectations on a day to day basis
