Job Ref: 215261612

Date: 2021-11-26 12:08:22

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We have a current opportunity for a Compliance Manager – initially for 3 months.

To identify, assesses, mitigate and control through compliance monitoring, thematic reviews. Particular focus will be on the operational aspects of the residential Home Purchase Plans (HPP) business and unregulated mortgages.
To undertake compliance monitoring and reviews (policies and procedures, controls environment, conduct risk, to verify provision of managing information, on the banks adherence to the regulatory rules and the best practice that is discharged through the operational environment in BAU. Reporting and communicating issues as appropriate (provision of MI).
To ensure appropriate compliance oversight (adherence to MCOB and all other associated relevant regulatory rules), over the operational environment from origination to the back end service provided, post completion.

To support the Head of Compliance in discharging their regulatory compliance responsibilities across the business, by managing oversight, assessing robustness of MK controls more specifically as it relates to HPP and unregulated mortgages (BTL). (Inclusive of end to end process controls).
To ensure the Bank remains fully compliant with all statutory and regulatory obligations through active management and compliance monitoring of all aspects of regulatory compliance.
To input to, when requested to do so, insights and suggestions as to compliance strategy and role out of the compliance risk management framework, across the Bank.
To undertake horizon scanning of new regulatory impacts on the Bank, reporting MI as required.
To demonstrate good knowledge of relevant regulatory handbooks (FCA, PRA – MCOB) and sourcebook, and industry best practice as is applicable to the business model of the Bank.
Providing advice as it relates to or impacts the Banks operational environment.
To assist in ensuring the Bank remains fully compliant in discharging its AML obligations and to identify any instances of financial crime, fraud, ABC, or conflicts of interest

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