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New job-Compliance Manager-lj

  • £Highly competitive depending on experience
  • Permanent
  • Central London
  • Ref: 20249

Your New Job Title: Compliance Manager

The Skills You’ll Need: Relevant senior level experience of working in a Compliance Department, at a regulator or in a Regulatory Control Department of a financial institution, with excellent knowledge of compliance issues in wholesale, retail and international banking.

Your New Salary: Highly Competitive depending on experience

Location: London

Job status: Permanent

What You'll be Doing Each Day:

Compliance Monitoring-

  • Perform day-to-day reviews determined by the Compliance Monitoring Plan, produce clear and timely reports highlighting areas of improvement, and track all actions raised;

  • Strong understanding of MiFIDII, EMIR, and FCA and PRA handbooks applicable to the Bank;

  • Review the Bank’s operating procedures, both manuals & actual processes, and review management information from a compliance perspective;

  • Recommend improvements where appropriate and ensure that compliance manuals are kept up-to-date in the light of developing legislation;

  • Perform gap assessments and work with the business to close out the gaps from these regulations;

  • Monitor the performance and coverage of the compliance plan and make recommendations for adjustments / improvements to the Head of Compliance & Legal;

  • Review and update Compliance and other relevant policies and procedures within the organisation;

  • To meet objectives and deliver appropriate advice / reports / recommendations within agreed timescales.

Compliance Advisory-

  • Ongoing advisory / response to queries from business units on the applicable of existing compliance policies, potential transactions / products and / or changes to processes to ensure compliance with existing regulations, includes queries from Treasury, Corporate & Institutional Banking, Global Loan Syndications & Debt Markets and Operations / Client Services departments;

  • Develop and maintain strong relationships with other departments and provide appropriate advice on compliance issues. Refer issues to your Line Manager as required.

Horizon Scanning-

  • Identification, interpretation and assessment of forthcoming regulatory developments that may impact the Bank. This covers the regular review of regulatory bulletins, publications and policy announcements; from the UK / European Regulators and various industry trade bodies.

Regulatory Change-

  • Management and ongoing support to the business (including liaison with external suppliers) for new / recently implemented regulatory compliance projects. This includes: MiFIDII / EMIR regulatory processes, periodic transaction reporting look back reviews, Market Abuse Surveillance, Deposit Protection / SCV file enhancements, Payments (PSD2).


  • Maintain the Bank’s legal risk framework, including existing policies and procedures;

  • Provide support in overseeing the sourcing of external legal advice when necessary;

  • Perform annual reviews of the Bank’s Legal Panel;

  • Prepare quarterly legal risk management reports to various stakeholders such as Head Office, Board committees;

  • Managing the Bank’s litigation portfolio using external lawyers.


  • Provide bank-wide / tailored department training to staff; including MIFiDII, EMIR, Market Abuse, Conduct, Deposit Protection and Data Protection;

  • Assist in identifying compliance-related training needs in the Bank.

The Skills You'll Need to Succeed:

  • Be strategically minded, with the ability to think and react quickly to change, negotiate through ambiguity whilst remaining committed to delivery;

  • Be self-motivated, approachable, able to absorb technical information and eager to both learn and coach;

  • Demonstrate up to date knowledge of the PRA / FCA requirements, relevant policy developments, awareness of global regulatory developments, and have an appreciation for the approach of other regulators.

  • Experience of working in a Compliance Department, at a regulator or in a Regulatory Control Department / similar function of a financial institution.

  • Excellent knowledge of compliance issues in wholesale, retail and international banking;

  • Excellent knowledge of regulatory rules

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We would be grateful if you could send your CV as a Word document. If your application is successful, you will be contacted within 7 days. We regret that due to the high volume of applications we receive we cannot provide feedback on individual CVs. Please note that we can only consider candidates who are eligible to work in the UK and are able to provide relevant supporting documentation.

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