Compliance Manager - SMCR & Regulatory Compliance

Sterling Williams are working alongside a renowned international banking organisation in the West End who are looking to hire a Compliance Manager on a permanent basis who has strong SMCR (Senior Managers and Certification Regime) experience alongside strengths in regulatory compliance and financial crime.

Compliance Manager - reporting to the Head of Compliance
Permanent Opportunity
West End based - with hybrid working
Salary circa £85,000 pa plus benefits (very competitive overall compensation)

Core responsibilities are focussed around 2 main areas:

SMCR:

• Acting as Chairperson for the SMCR and Conduct Rule Breach committee.
• Launching annual reviews for both certified staff and SMF’s and liaising with Line Managers to ensure that deadlines are met
• Ensuring forms are completed correctly including competency assessment forms and fit and proper declarations
• Liaising with HR to ensure regulated screening is completed in relation to annual reviews and that regulatory references are obtained
• Amongst other SMCR related activities

Regulatory Compliance/Financial Crime

• Investigating and responding to Regulatory authorities and FCA enquiries as instructed
• Investigating and responding to internal enquiries relating to potential compliance risks/breaches
• Assist the Line Manager in providing training, guidance to the business as and when necessary and managing the roll out of regulatory training
• Monitoring UK regulatory developments and assessing the impact on the London organisation.
• Assisting with all reporting for management and EXCO reporting
• Maintain and execute the risk-based Compliance/Financial crime monitoring programme
• Assisting with Regulatory projects
• Maintaining the Compliance Policy & Handbook and providing support on new and existing policies
• General day-to-day support to the Head of Compliance

The successful candidate will likely have:

• 8 -10 years’ experience in a similar environment
• Technically proficient in SMCR regulations
• A legal or compliance/financial crime or regulatory background, preferably within the financial services industry
• Strong knowledge of Regulatory changes affecting Financial Services
• Ability to translate regulatory language to adapt to the business
• Good working knowledge of Financial Crime topics particularly in areas surrounding CDD/KYC/Sanctions/Transaction monitoring etc.
• Strong analytical skills with good attention to detail
• Strong verbal and written communication skills
• A proactive approach to tasks and responsibilities
• Able to work under pressure and within tight deadlines
• A professional with a business attitude in the workplace