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Senior Compliance Manager

As the business is growing my client is expanding their Compliance team. They require an experienced Compliance professional to assist with general Compliance duties.

Role duties:

To support the Head of Compliance in discharging their regulatory compliance responsibilities across the business, more specifically as it relates to HPP and unregulated mortgages. Inclusive of end to end process controls.

To ensure the Bank remains fully compliant with all statutory and regulatory obligations through active management and compliance monitoring of all aspects of regulatory compliance.

To undertake horizon scanning of new regulatory impacts on the Bank.

To demonstrate good knowledge of relevant regulatory handbooks (MCOB) and sourcebook, and industry best practice as is applicable to the business model of the Bank.

Providing advice as it relates to or impacts the Banks operational environment.

To assist in ensuring the Bank remains fully compliant in discharging its AML obligations and to identify any instances of financial crime, fraud, ABC, or conflict of interest.

To undertake compliance monitoring of the Banks adherence to policies and procedures (from origination through to decision in principle and monitoring of back end outsourced servicing for the Bank)

Review and monitoring of policies and procedures.


Review of operational process in the Direct Finance team.

To advise the business on proposed activities and the regulatory impact from a financial crime perspective.

To review/assist, as required, with on-boarding and periodic files, compliance review sign-off and provision of monthly MI (including Milestone clients) on a sample basis and as reviewed also through the BEP on-line system.

Provision of MI from the 1st LOD ensuring adherence to GHB policies and procedures in relation to the origination team and on-boarding; reporting and communicating to the ERC as required.

Assist in the monitoring of the business assurance teams and origination team process as it relates to KYC on-boarding issues

To undertake Thematic reviews across identified specific business areas

To deliver ad-hoc, bespoke and ongoing training to ensure employees remain competent.

To review the Data Protection framework and assist in ensuring the Data Protection policies and procedures are adhered to.

To ensure customer complaints are handled appropriately, and addressed within the time-lines in alignment with the firm's compliance with DISP.

for more information please contact Martin Joyce on 0203 892 8533 or email

Salary: £60000 - £65000 per | Job Type: Permanent | Posted: 26/02/2018