Compliance Advisory Director

Compliance Advisory Director

Job Title: Compliance Advisory Director
Contract Type: Permanent
Location: London
Salary: £100000 - £130000 per annum, Benefits: package
Start Date: asap
Reference: BWD-MC-CAD-L
Contact Name: Monika Carlton
Contact Email:
Job Published: January 13, 2017 09:00

Job Description

Compliance can be one of the most fulfilling careers. The role of a Compliance Director isn’t simply just about regulations and policies, it’s guiding firms to reach the highest level of growth. It is a skilled and valued profession.

I have a client that is offering an exceptional opportunity for the Compliance Director who wishes to use their practical and professional skills fully to work with a leading, international bank.

Our client is not looking for an another ‘box ticker' but for an individual that will take a leading role in supporting the Business remaining compliant with regulatory requirements and corporate compliance policies. Role holder will act as a key partner to 1st line senior management and 2nd/3rd line stakeholders. Liaises with regulatory authorities and represents Compliance at internal legal entity/governance forums and external meetings as required.

The responsibilities to include:
  • Provide accurate and timely technical advice and guidance to business/business partner colleagues on regulatory compliance issues.
  • Identify and analyse emerging Compliance risks and trends. Provide feedback and recommendations to other Compliance and Business colleagues on how to mitigate these risks. Provide strategic direction to the work of the Advisory Compliance team.
  • Manage a team of Compliance professionals ensuring the work of the team is produced to a consistently high standard, is relevant and timely.
  • Represent Compliance within business driven projects. Provide constructive challenge to help ensure that Bank’s regulatory obligations are taken account of within the project.
  • Where required act as liaison between the business and the regulators. Ensure that internal colleagues are appropriately prepared for discussions with external regulators.
  • Participate in or lead internal business/governance meetings. Ensure that any reports required for those meetings are provided in a timely manner and are focused and relevant to the meeting topic. Provide constructive challenge within meetings regarding relevant regulatory requirements.
  • Participating in or leading the delivery of Compliance related training.
  • Deputising for the Head of Advisory Compliance where required.
  • Where required participate in compliance monitoring reviews. This is likely to comprise sharing of information with Compliance Monitoring colleagues regarding the business lines and/or regulatory themes they are planning to review.
  • Represent Compliance at the regular board and committee meetings of UK legal entities as required. Ensure that any reports required for those meetings are provided in a timely manner and are focused and relevant to the meeting topic. Provide constructive challenge.
If you are a Compliance Professional with experience within Investment Services in the UK, including Broker Dealer Services, Corporate Treasury, Depositary Receipts and Treasury Services, and you are willing to continuously learn, develop and broaden your knowledge and want to work with professionals who share your values then please give me a call for a confidential chat. What have you got to lose!