Role details

Compliance Manager, Investment Management and Banking

Surrey   •  Permanent

Bullet points

  • An international transactional bank, operating in emerging markets is recruiting
  • A compliance manager is required, to be based in Surrey, IM experience required

About Our Client

This Compliance Manager, Investment Management and Banking role sits within a well established transnational bank, operating in emerging markets. The bank also had an asset management arm.

Job Description

This Compliance Manager, Investment Management and Banking role is based in Surrey and sits within Financial Services:

  • Responsibility for maintaining and developing Compliance Risk Management Framework; and enhancing and embedding this into all areas.
  • Managing the compliance monitoring & testing programme;
  • Liaising with internal and external auditors to discuss the results of the CMT programme
  • Advising the business on the impact of current regulation on proposed business
  • Advising the business on the impact of forthcoming regulation; creating action plans to implement new such regulation; reporting on progress towards implementation.
  • To design and deliver Compliance Workshops across all Compliance areas (excluding Financial Crime).
  • Enhancing and developing Key Risk Indicators.
  • To review Compliance Reporting and improve /develop further where required.
  • Maintaining and reporting meaningful management information.
  • Ensure compliance with FCA / PRA rules.

Stakeholder / Customers

  • Build effective relationships and partner with key business stakeholders whilst maintaining compliance with all FCA and PRA rules
  • Understand the economic, political and risk factors affecting our clients and the impact their requirements have on the operational areas of the Bank IM.


  • Ensure at all times any problems or issues are resolved in an effective manner
  • Work with virtual teams to ensure best in class solutions

Compliance Control

  • Ensure compliance procedures and policies are in place, current, and documented.
  • Work with teams to develop and enhance appropriate compliance controls

Ensure risk escalation procedures for the team are embedded and are continually reviewed and enhanced.

The Successful Applicant

Capable of maintaining and improving compliance systems and controls to the regulatory standards including:

The Compliance Framework

  • Compliance Policies and Procedures
  • Compliance Processes
  • Risk Assessments

Capable of a methodical approach to risk is essential.

Understanding of a recognised compliance standard is desirable.

Ability to challenge constructively and influence others.

Knowledge of legislation and regulatory responsibilities for both the Bank and IM.

Must have a background of the compliance requirements of regulated financial services firms including knowledge of regulatory, operational, conduct and financial crime risk.

Understanding the constituent parts of a Compliance Risk Management Framework and capable of maintaining them, including the iterative stages of a risk management process.

Compliance experience in banking - essential.

Compliance experience in asset management - desirable.

Recognised diploma / degree in Compliance - desirable.

What's on Offer

Please enquire

Apply for this job

Click the Apply or LinkedIn button below or contact Heather Ninnes on +44 20 7776 5936 quoting job reference 13758777
As you are using an Apple iOS device we are unable to offer you the CV upload function. Please apply with your Linkedin profile below or contact Heather Ninnes on +44 20 7776 5936 quoting job reference 13758777