Compliance Manager

Robert Walters
21 Sep 2019
30 Sep 2019
Job Type
Contract Type

An excellent opportunity is available with a most respected Financial Services business based in Birmingham city centre who require a Compliance Manager for the Birmingham team. The team plays a key role in ensuring the Bank adheres and complies with laws and regulations relating to regulatory compliance by having in place sufficient systems, controls, policies and processes through challenge and oversight of the business.

The team provides challenge and oversight of current and upstream compliance risks and on scope and content for compliance policies and training.

Key Responsibilities:

  • Act as first point of escalation for any queries from analysts within the team
  • Provide technical guidance and leadership for the team
  • Work with the Head of Regulatory Compliance UK in planning engagement strategy and activity across the firm
  • Liaise with stakeholders on review findings and agreeing practical recommendations
  • Adhere to the rules and regulations including but not limited to the FCA Handbook
  • Identify and investigate any current or future potential compliance risks in the Bank and excalate as appropriate

The Compliance Manager will be an industry Subject Matter Expert with experience in stockbroking regulatory compliance (Excluding AML) and be competent in all areas of the teams remit. You will be expected to utilise knowledge and experience in managing work flows, enhancing policies, procedures, processes and frameworks, providing training to all members of staff. You will be supported by and work closely with the Head of Regulatory Compliance UK based in London, and be expected to deputise in their absence.

This is an excellent Compliance opportunity in The Midlands region. Please apply now, or for further information contact Kayte Short at Robert Walters at