FINANCIAL SERVICES RECRUITMENT
LONDON | NEW YORK
Regulatory Compliance Lead - London/Birmingham
My client, an international private banking group, is seeking an analytical, self-motivated individual who has a passion for investigation, and sound knowledge of Private Banking and Regulation to join their London team as a Team Leader - Regulatory Compliance.
Brief Description of Role:
The Team Leader will act as a first point of escalation for any queries from analysts within the Team, providing technical guidance and leadership for the whole team.
The Team Leader will be an industry SME with at least three years relevant experience in Stockbroking Regulatory Compliance. The Team Leader will be expected to utilise knowledge and experience in managing workflows, enhancing policies, procedures, processes and frameworks, providing training to all members of staff and providing guidance and oversight for the work completed within the team.
The ideal applicant will have leadership qualities and be able to develop the skills and knowledge of the team members.
The team and role is based in Birmingham, but there is scope for a candidate to split time between the London and Birmingham office.
Duties / responsibilities
*To work closely with the Head of Regulatory Compliance UK in planning engagement strategy and activity across the firm, understanding the perceived integrity of the Team and respect for Team output is fundamental to effective impact upon the business.
*Provide quality assurance oversight for Analysts when undergoing reviews, constructively challenging the robustness of methods and findings.
*To develop independent leadership for areas in the business over time such as Compliance training, Meeting schedules and formats, Internship/work experience programmes.
*Liaise with stakeholders on review findings and agreeing practical recommendations.
*To adhere to the rules and regulations, including but not limited to the FCA Handbook.
*To identify and investigate any current or future potential compliance risks in the Bank and escalate to the Head of Regulatory Compliance UK where necessary.
*Mentoring of analysts within the team, acting as a first port of call for coaching, ideas and queries.
*To assist the business as and when required on Compliance related queries, by providing advice and guidance, outlining options and recommending solutions as appropriate.
*To ensure that Management information (MI) is kept up to date and complied where necessary.
*Devise a programme alongside other Compliance Team Leaders with SMART objectives to evidence lessons learned and demonstrate progress into active strategic management.
Required knowledge and experience:
*At least three years relevant experience of stockbroking Compliance
*Good knowledge and understanding of stockbroking and regulation, particularly: Suitability and appropriateness, CASS, PRIIPs.
*Industry and market awareness of requirements, developments and initiatives that may impact the bank and/or its clients in the Compliance environment.
*The ability to communicate clearly and effectively with all members of staff.
*Sound knowledge of bank systems, Word, Excel and PowerPoint to deliver professional documents and the ability to effectively interrogate Internet sources.
- Birmingham, England, United Kingdom
- Permanent, Full time
- Charles Levick