Job Detail

Compliance Manager – SMCR & Regulatory Compliance

  • Job DurationMore than 06 months
  • Project LevelMedium Level

Project detail

Sterling Williams are working alongside a renowned international banking organisation in the West End who are looking to hire a Compliance Manager on a permanent basis who has strong SMCR (Senior Managers and Certification Regime) experience alongside strengths in regulatory compliance and financial crime.

Compliance Manager – reporting to the Head of Compliance
Permanent Opportunity
West End based – with hybrid working
Salary circa £85,000 pa plus benefits (very competitive overall compensation)

Core responsibilities are focussed around 2 main areas:

SMCR:

Acting as Chairperson for the SMCR and Conduct Rule Breach committee.
Launching annual reviews for both certified staff and SMF’s and liaising with Line Managers to ensure that deadlines are met
Ensuring forms are completed correctly including competency assessment forms and fit and proper declarations
Liaising with HR to ensure regulated screening is completed in relation to annual reviews and that regulatory references are obtained
Amongst other SMCR related activities

Regulatory Compliance/Financial Crime

Investigating and responding to Regulatory authorities and FCA enquiries as instructed
Investigating and responding to internal enquiries relating to potential compliance risks/breaches
Assist the Line Manager in providing training, guidance to the business as and when necessary and managing the roll out of regulatory training
Monitoring UK regulatory developments and assessing the impact on the London organisation.
Assisting with all reporting for management and EXCO reporting
Maintain and execute the risk-based Compliance/Financial crime monitoring programme
Assisting with Regulatory projects
Maintaining the Compliance Policy & Handbook and providing support on new and existing policies
General day-to-day support to the Head of Compliance

The successful candidate will likely have:

8 -10 years’ experience in a similar environment
Technically proficient in SMCR regulations
A legal or compliance/financial crime or regulatory background, preferably within the financial services industry
Strong knowledge of Regulatory changes affecting Financial Services
Ability to translate regulatory language to adapt to the business
Good working knowledge of Financial Crime topics particularly in areas surrounding CDD/KYC/Sanctions/Transaction monitoring etc.
Strong analytical skills with good attention to detail
Strong verbal and written communication skills
A proactive approach to tasks and responsibilities
Able to work under pressure and within tight deadlines
A professional with a business attitude in the workplace

Freelancer type required for this project