Compliance Assurance Manager
- Permanent
City of London, London
The details
Compliance Assurance Manager - Wholesale, Commercial & Retail Banking
Location: London
Department: Compliance Assurance
Employment Type: Full-time
About the Role:
Reporting to the Compliance Assurance Team Lead-with an additional reporting line to the Chief Compliance Officer-this role offers the opportunity to operate with a strong degree of independence while contributing to key governance objectives.
Requirements: Compliance Assurance experience within the banking sector.
Key Responsibilities:
- Deliver independent assurance reviews as part of the annual Compliance Assurance Plan, ensuring alignment with internal methodology.
- Lead or collaborate in risk-based assessments of regulatory and financial crime controls across the organisation.
- Engage with stakeholders throughout the review lifecycle, from scoping to final reporting, ensuring clear communication and timely resolution of identified issues.
- Produce clear, concise, and well-documented review reports, including root cause analysis and agreed management actions.
- Maintain robust documentation to support quality assurance and review re-performance.
- Contribute to a culture of continuous improvement and high-quality execution within the team.
- Monitor industry developments and maintain up-to-date knowledge of UK regulatory frameworks relevant to banking operations.
- Participate in the preparation of reports for senior leadership and governance committees.
- Support and guide junior team members as part of ongoing capability development.
- Deputise for the Team Leader when required, representing the team in meetings and forums.
What We're Looking For:
- Compliance Assurance experience within the banking sector.
- Demonstrable experience in internal audit or compliance assurance, ideally within financial services.
- Strong knowledge of UK regulatory requirements, including those relating to AML, sanctions, anti-bribery and corruption, fraud, and tax evasion.
- Familiarity with relevant industry standards.
- Excellent analytical and report writing skills, with the ability to assess complex information and articulate findings effectively.
- Understanding of products and services within wholesale, commercial, and retail banking.
- Proven ability to manage multiple priorities, work independently, and influence stakeholders.
For application and accessibility support, please contact your local Marks Sattin office. We're committed to protecting the privacy of all our candidates and clients, please visit https://www.markssattin.co.uk/privacy for our privacy policy.
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