Compliance Assurance Manager – Lending / Banking

£50,000 - £55,000
01 Jun 2018
20 Jun 2018
Job Function
Experience Level
Contract Type
Full time, Permanent

The key purpose of this role is to lead and deliver robust risk based compliance monitoring activity


across the Bank.




The Client-

Specialist lending and retail savings group, listed on the London Stock Exchange and part of the FTSE 250.

 The role-

  • Support the Deputy Head of Compliance in undertaking robust compliance risk assessments and developing a risk based annual Compliance Assurance Plan
  • Plan, execute and report against the Bank’s Compliance Assurance Plan, maintaining accurate records and providing concise written and verbal reports highlighting key issues and recommendations for improvement actions
  • Undertake focused customer outcomes reviews across the full customer lifecycle (both routine files reviews and product deep0-dive reviews)
  • Assisting in the preparation of Compliance and Conduct Risk Reports for the Board, Audit Committee, Risk Management Committee and Operational Committees of the Bank
  • Assisting in relation to investigations into Compliance related incidents / breaches and the provision of compliance advice on identifying appropriate remedial actions
  • Support HR in the identification of any compliance related training needs, during the course of monitoring activities
  • Contribute towards the development of team related policies, procedures and standards
  • Manage key stakeholder relationships across the Bank, including support for the Risk Champions to the business

Key Requirements-        

  • 2 years’ experience working in a compliance function in financial services
  • 12 months experience of Compliance Monitoring / Assurance
  • Ability to analyse information and develop MI
  • 12 months experience of exposure to and understanding of commercial functions and operational processes
  • Strong communication skills

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