Compliance Manager

  • Up to £75,000 pa
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Saxton Leigh
  • 21 May 18 2018-05-21

Our client, an International bank based in the City, are seeking an experienced compliance professional to manage their team.


Our client is a Leading International bank with exciting new growth plans



  • Perform day-to-day reviews determined by the Compliance Monitoring Plan, produce clear and timely reports highlighting areas of improvement and follow up actions points raised;
  • Monitor the performance and coverage of the compliance plan and make recommendations for adjustments/improvements to the Head of Compliance & Legal;
  • 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;
  • Develop and maintain strong relationships with other departments and provide appropriate advice on compliance issues, mainly prudential. Refer issues to your line manager as required;
  • Assist the Head of Compliance & Legal in the planning and prioritisation of compliance work;
  • Monitor changes to legislation and regulatory rules affecting the Bank and advise management and staff of the implications of these regulatory changes;
  • Assist in identifying compliance-related training needs in the Bank and assist in delivering training as required;
  • Liaise with the Bank’s internal auditor in undertaking compliance duties where necessary;
  • Liaise with Regulators and other appropriate 3rd parties under the direction of the Head of Compliance & Legal;
  • Periodically manage the project delivery and implementation of new regulatory requirements across the Bank such as SCV/Depositor Protection Rules, etc.;
  • Assist in all other tasks, periodic, ad hoc or otherwise, as directed by your Line Manager.



  • Generalist Compliance experience from a Banking background (PRA/prudential experience).
  • Undertaking a “prudential” role within a Bank would desirable  
  • Candidates with  “BIG 4” or from the PRA experience desirable
  • If they have “conduct” experience as well, this is absolutely fine – do not need to have 100% prudential experience.
  • 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 and how those apply to the Bank;


For further information please contact Hannah Tabatabai