Compliance Complete | Recruitment | Job List

Compliance Monitoring Consultant

1328707625

Retail Banking | 25k - 35k Annually Competitve Package |

An exciting opportunity for a Compliance Monitoring Consultant in Milton Keynes to join the monitoring team in a leading UK Bank.

Role description

As a Compliance Monitoring Consultant your responsibilities will include:

• Assessing and reporting on operational regulatory performance and advising on any necessary improvement to the standards of compliance in relevant business areas.
• Assessing the standards of operational regulatory performance against required standard to decide whether it is acceptable.
• Determining cause of failure. Define and recommend appropriate course of action.
• Monitoring activity is consistent with the department's monitoring plan.
• Using monitoring and testing tools and techniques appropriately.
• Recommend and carry out appropriate ancillary monitoring activity as a result of findings.
• Responding to requests for information and guidance promptly and accurately.
• Working closely with the business to identify and solve regulatory issues and ensure that regulatory requirements are being met.
• Working closely with Compliance business facing function to ensure delivery of monitoring arrangements.
• Assisting Regulatory Affairs deliver regulatory developments and requests for information from the FSA.
• Ensuring regulatory risks are identified and that business owner(s) are appointed to mitigate these risks.
• Building effective working relationships with external parties in order to: effectively investigate and respond to issue, keep up to date with knowledge and industry standards.

Who we're looking for

As a Compliance Consultant your skills and qualifications will ideally include:

• Sound financial services / business knowledge developed over a number of years working in within the Financial Services or associated industries or government bodies
• Proven ability of being proactive, communicative, pragmatic and methodical in approach, taking ownership for issues within compliance
• Ability to build strong relationships with customers
• Ability to analyse and evaluate issues, and sound judgement to determine appropriate actions/solutions.
• Regulatory qualification (FPC, CeFA,CeMAP) is preferable

About our client

One of the fastest growing banks in the world

What's on offer

Competitive Package on offer!

Michael Page ContactFor further info, apply or phone on 0207 645 1419. Job Ref: 13212426
Your application will be sent to Emilie Garvey 6HEG.

Compliance Monitoring Officers (x 3 roles) - major retail bank

1328630828

Life & PensionsRetail General InsuranceMortagesRetail Banking | good market rate |

My client, the retail banking division of one of the premier UK names in financial services are searching for experienced, high calibre retail banking / financial servcies (mortgage / GI / financial planning etc) monitoring professionals who will bring quality to a revamped (and upscaled) monitoring function.

These are broad-based, challenging monitoring roles:

Providing 'leading-edge' monitoing capability
Assessing identified risks through appropriate sample tests conducted over the course of comprehensive field-work
Conducting visits; reports; theme based reviews; ad hoc reviews; relevant reporting.
Escalation of identified issues as appropriate
Working with team-members & management on any remedial findings
Input into development of annual monitoring plan

Key skills:

Good base of relevant monitoring/audit experience
Relevant retail sector regulatory awareness and knowledge.
Strong relationship building skills and business understanding.

This is an exciting opportunity to make a major mark in a massive organisation. Please either forward your CV or make contact with Tom Dannatt directly to initiate discussions.

Compliance Manager (advice/technical) - Major retail banking group

1328630728

Life & PensionsRetail General InsuranceMortagesRetail Banking | 38k - 42k Annually excellent pension + good bonus scope |

This position with a division of a major UK & global financial group, represents an excellent career opportunity for a high calibre candidate with a good base of regulatory experience in the retail sector. The team is looking to strengthen its technical/advisory capacity in particular.

Scope -

To provide specialist consultancy and compliance support.
To identify and prioritise regulatory and statutory obligations.
Represent the Compliance team at business meetings.
Involvement in ad hoc projects.
Assist with completion of annual reports and plans.
Ensuring that effective control systems are developed to manage compliance topics

Candidate -

Strong retail regulatory track-record - the quality of your track-record to date is more important than the length of your career to date.
Knowledge of at least two of the following areas essential (ideally as many as possible) FSA retail regulatory environment, Financial Crime legislation, GI regulation, Banking Codes.
Excellent ‘generic' personal skills - ability to analyse a situation and deliver solutions promptly; independent and capable of seeing a problem through to resolution; self-starter; willing to work on a wide variety of issues.
Ability to develop as an expert with leading edge knowledge of Group products, services and relevant regulatory topics.

This is a superb opportunity to make a real impression with an excellent organisation. To progress or discuss, please ideally send a CV to tdannatt@jmagill.com

Senior Retail Banking Compliance Manager (Customer Network - GI / Mortgage / Retail Banking products)

1328630357

Life & PensionsRetail General InsuranceMortagesRetail Banking | strong market rate + excellent pension & bonus |

This major UK high street (and global) bank is seeking to build both the scale and quality of their front-end compliance advisory function with a further senior hire in their Coventry location.

A high calibre professional with either specific compliance backgrounds in GI, mortgage or retail banking (or even better a combination) is sought to:

Lead front-line sales advice to the business areas
Ensure adequate controls and assessments are in place across business areas
Ensure that key issues are being appropriately escalated and managed

Scope spans - Branch networks, internet presence, contact centres (including offshore) & Third party suppliers

Detail to include -

Stakeholder engagement with the business within area of responsibility
Provision of subject matter expertise across the business
Input to Key Risk Scenarios, Principal Risk Reporting etc
1:1s with business counterparts and attendance at project meetings
Leadership / management of staff

Candidate profiles -

Strong compliance management track-record
Apparent expertise in one or more regulatory / product fields
Advanced inter-personal skills - team management, stake-holder interaction (internal & external)
Proven track-record of operating to a high-level of effectiveness & impact in a large and complex organisation

For further information on this opportunity please ideally send a CV to tdanatt@jmagill.com or call Tom on 020 7614 7692

Compliance Monitoring Officers (multiple roles) - major retail group

1328627035

Life & PensionsRetail General InsuranceMortagesRetail Banking | 38k - 42k Annually + market leading benefit package |

This household name in retail banking and financial services (and a global banking brand) are searching for experienced, high calibre retail banking / financial services monitoring professionals who will bring quality to the team (ideally candidates with core skills in mortgage / GI / financial planning etc - but excellent L&P professionals will be considered).

These are broad-based, challenging monitoring roles:

Providing 'leading-edge' monitoring capability
Assessing identified risks through appropriate sample tests.
Conducting visits; reports; theme based reviews; ad hoc reviews; relevant reporting.
Escalation of identified issues as appropriate
Working with team-members & management on any remedial findings
Input into development of annual monitoring plan

Key skills:

Good base of relevant monitoring/audit experience
Relevant retail sector regulatory awareness and knowledge.
Strong relationship building skills and business understanding.

These are superb opportuities in a massive organisation. Please either forward your CV or make contact with Tom Dannatt directly to initiate discussions.

Interim Financial Crime Consultant

1328549059

Compliance & RegulationMoney Laundering | To £500 per day |

My client is a retail financial services firm and they are currently looking for a Financial Crime Consultant to join them on an interim basis. The role will focus on reviewing and remedying financial crime weaknesses within the business.

Duties will include:

Identifying and implementing controls across various areas of financial crime including; money laundering, bribery and corruption, internal fraud, and sanctions and PEPs

Reviewing and updating all policies, procedures and training material related to management of financial crime risk and bribery and corruption

Reviewing all management information produced around financial crime risk, making recommendations and implementing improvements

Identifying financial crime KRIs across the business

This role requires a subject matter expert, so to be considered you must have up to date knowledge of all the above-mentioned areas of financial crime. You will have a proven background in financial services and you will have the ability to identify weakness and implement change including influencing senior management where necessary.

If you are interested in this role please contact Natalie Flynn on 020 7936 2601 or email your CV to nf@barclaysimpson.com.

Enterprise Risk Management Manager

1326889432

Compliance & RegulationRisk | c.£55,000 + Benefits |

About the Client:

Our client is a highly regarded global business with a reputation for success. An excellent opportunity has arisen for Risk Management professional to join the firm in the role of Enterprise Risk Management Manger

About the Role:
Lead, manage and facilitate the ERM agenda for the UK Business and ensure aligned to US Corporate intent.
Ensure UK Risk Appetites, Top Risks and Departmental Level risk assessments are in place, effective and adequately reported.
Drive UK ERM Committee (ERMC) agenda, content and actions.
Provide frameworks, tools and methods to identify and manage risk, aligned with US Corporate Standards.
Manage UK processes for the identification, aggregation and mitigation of risks horizontally across risk categories.
Drive improvements in Enterprise and Operational Risk Reporting to align with UK Business needs and US Corporate methodology.

What we're looking for:

To succeed in this role you will have Risk Management experience gained with in a regulated environment.

About the Offer: Salary is commensurate with experience and current salary level.

Contact:Paul Sherlock 0161 234 0362 or paul.sherlock@psdgroup.com

Monitoring Manager

1326470667

Compliance & Regulation | 55k - 75k Annually Competitive |

The role of the Compliance Monitoring Team is to provide independent regulatory risk assessment of businesses within the bank.

Key responsibilities will include:

ASSESSMENT

Consideration of a variety of inputs to implement and maintain a risk-based Compliance Monitoring programme throughout the bank

Examples of the inputs: Regulators' themes and priorities, Regulatory Risk Universe and previous Compliance intelligence/experience, business focuses and initiatives, media interest.

STAKEHOLDER ENGAGEMENT

Maintenance of the annual Monitoring plan through direct engagement with key stakeholders

Examples include: Quarterly Risk Universe forum, socialisation of Monitoring Plan with key senior stakeholders and Quality Board; monthly meetings with AML & Sanctions Team

Regular engagement with other Risk and Control functions to enable adequate oversight and assessment of regulatory risk

Examples include: Internal Audit; AML team; Credit Risk

METHODOLOGY

Applying a range of monitoring tools and selecting those which best achieve the objectives of the monitoring review

Examples include: desk-top analysis, review of Management Information, staff and management interviews, live observations, "mystery shopping".

Production of reports
Making senior management aware of the monitoring findings and the remediation actions to which the business has committed - specifying the owner of each action, what must be achieved and the due date for completion.

GOVERNANCE AND CONTROL

Recognising the materiality of identified issues and the extent of potential customer detriment

Examples include: defined risk ratings within Monitoring procedures, "four-eyes" sign-off process applied to Terms of Reference and reports, formal close-out meetings and appeals process

Applying processes and controls around issues assurance

Examples include: the Compliance Risk and Issues System [CRIS] database and reporting suite; a priority-driven escalation process with senior UK bank management where significant issues are identified and/or when stakeholder areas fail to meet agreed remedial action plans.

For more information call Emilie Garvey on 02076451432