Corp Compliance Manager, VP
The UK Corporate Compliance Manager is primarily responsible for driving the strategic relationship with the UK financial regulators. By demonstrating a strong understanding of the regulator's perspective and on-going strategy, the role provides an insightful angle into these key relationships, ensuring that responses and interactions are cohesive and unified. Role specifics
Typical activity for this role will include:
- Relationship management with the PRA and FCA supervision contacts
- Internal point of escalation across UK business lines in regulatory reviews/requests for information/enquiries
- Demonstrable proactive internal leadership throughout the management of regulatory deliverables to the FCA and PRA, ensuring cohesive, timely and accurate responses
- Attendance at regulatory meetings to ensure consistency of messaging on key themes and actions
- Compliance advisory and effective issue escalation protocol support to the following areas:
- Non-financial Regulatory Reporting
- EMEA Outsourcing Office
- Human Resources
- Company Secretarial
- Senior Managers Regime Office (SMRO)
- Culture and Conduct
- CAO office
- Ongoing management of the team activities including reviewing materials prepared such as the regulatory request tracker, regulatory meeting tracker and any MI going to the relevant boards and committees
- Attendance at regular working groups including Operational Resilience Forum, SMR and Conduct Working Group.
- Support and encourage the culture of 'Risk Excellence' across the business and operate with a high moral code
- Provide appropriate management information as required to support decision making
- Ensure that the highest level of the Code of Conduct is displayed in your behaviour
- Display a culture of individual ownership of tasks to embed a clear individual sense of accountability in performing the role
- Adhere to limits of delegation and escalation procedures required by your manager so that you comply with internal policies and external regulations
- Experience in a regulated environment in financial services or experience gained in monitoring or advisory compliance is preferable, although not essential.
- An understanding of UK regulator strategy and/or business plans.
- Proven relationship management or regulatory liaison experience.
- Strong interpersonal skills.
- Strategic thinker & effective influencer
- Ability to work in a pressurized environment
- Organised, resilient with strong attention to detail and drive