Description
Compliance Advisory Manager - Wholesale Banking - London - Contract
- Compliance Advisory Manager is required by a UK Wholesale Bank (maternity cover 7 months) to provide Compliance coverage to Capital Markets & Advisory, Structured securitisation, Conduit and Structured Credit Investments.
- Acting as the primary contact for internal client inquiries, requests and ad hoc projects relating to covered business areas.
- Identifying potential areas of compliance risk and developing action plans for resolution.
- Ensuring employees are in compliance with the rules and regulations, that Bank policies and procedures are being followed.
- Directing/Escalating compliance issues to appropriate resources for investigation.
- Providing daily regulatory advice and guidance regarding regulations and internal polices.
- Reviewing proposed, new and revised rules and regulations.
- Drafting and implementing new policies and procedures and update existing policies and procedures
- Providing advice on new business and product proposals (CTR) to identify and address compliance and regulatory risk
- Collaborate with other key Compliance functions
- Support the Control Room in managing wall crossings and conflicts
- Conducting reviews of and preparing responses to regulatory requests and inquiries
- Conduct training on relevant regulatory matters for business units
- Collaborate with other departments (eg, Risk, Audit, Legal, etc.) to direct issues for investigation and resolution.
- Assisting with annual regulatory risk assessment exercise Responding to regulatory inquiries and investigations
- Ensure compliance with the Bank's procedures and guidelines together with all relevant regulatory and statutory requirements where appropriate implementing actions to protect the Bank's business at all times.