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Senior Manager, European Compliance Monitoring & Testing

Salary: £75 - £90K - London

Contributes to the overall success of Euopean Compliance in the UK ensuring specific individual goals, plans, initatives are executed and delivered in support of the team's business strategies and objectives.  Ensures all activities conducted are in compliance with governinig regulations, internal policies and procedures.


Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.


Responsible for the UK Monitoring and Testing program.


Overseas local surveillance activities.


Understand how the Bank's risk appetite and risk culture should be considered in day-to-day acitivities and decisions.


Activitely pursues effective and efficient operations of his / her respective areas, whiles ensuring adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML / AFT risk and conduct risk.


Champions a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment: communicating vision / values / business strategy and managing succession and development planning for the team.


Monitoring and Testing:

- Ownership of this program.

- Development and maintenance of the UK Compliance testing reviews methodology and     associated procedures.

- Creation, maintenance and review of the annual and multi-year testing plan.

- Creation, maintenance and review of the monitoring log and review of the effectiveness of   monitoring.

- Plan and conduct desk-based compliance reviews to assess the effectiveness of the Bank's policies and procedures.

- Track, assess and report on the status of remedial action identified within reports until   resolved / concluded.

- Instigate reviews and investigation into regulatory queries and alleged rule breaches.

- Ensure appropriate trend analysis is completed and that findings are clearly communicated.

- Conduct appropriate inquiries and investigations to neusre that appropriate corrective actions and/or risk mitigation actions are implemented in a timely manner or are escalated.

- Ensure any findings of the testing undertaken are clearly communicated to the Head of Compliance and/or Senior Management as appropriate.

- Complete monthly management informatino for the status of the testing plan as well as additional local management information requested by the HoC.



- Oversee local surveillance activies.

- Work with shared services model on surveillance activities including atending committee and working group meetings.

- Act of UK representative on technology projects to enhance surveillance functionalities.



- Keep abreast of UK and European legislation and regulatory developments and assist with the preparation of regulatory change reporting to keep management up-to-date on relevant legal and regulatory developments.


Policies, Procedures and Controls

- Ownership of the UK Compliance Testing Plan and Reviews Procedure.  Co-ordinate input from other members of UK Compliance.

- Assist with the formulation of new processes and /or systems to strengthen the controls environment Europe businesses operate within.



- Ensure prompt escalation of compliance issues.

- Maintain compliance knowledge through appropriate training and monitoring of emerging regulatory, legal and Group initiatives and requirements.


Direct Reports

  • Responsible for the M&T team and any staff within the team.


Key Skills

  • Degree educated or equivalent
  • Solid relevant compliance experience in a financial institution.
  • Intermediate knowledge and understanding of securities/banking rules, regulations, by-laws, policies and procedures.
  • Intermediate knowledge of UK regulatory rules and principles and in particular SYSC and how these rules apply to compliance monitoring and reviews
  • Experience of multiple stakeholder management at mid-senior management level, including stakeholders from the business as well as third party organisations


General Competencies

  • Good understanding of the firm’s business practices, organizational structure, policies and procedures
  • Strong written and verbal business communication skills
  • Good management skills
  • Strong analytical skills and a keen eye for detail
  • Capable of simultaneously handling multiple tasks and meeting stringent deadlines
  • Well-developed interpersonal skills in order to provide a high level of service and maintain working relationships with assigned client groups and team members
  • Able to recognize and handle sensitive and confidential information
  • Self-motivated, confident and capable of working both independently and in a team environment
  • Superior planning, organizational and time-management skills
  • Results oriented and high achiever
  • Reliable, consistent and disciplined
  • High level of integrity
  • Tactful, diplomatic and politely persistent
  • Advanced knowledge of MS Office and software tools as applied to the position.

For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

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