COMPLIANCE MANAGER (CASS) - IMMEDIATE START!
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| Job Type | Temporary |
| Area | City, UK |
| Sector | BankingFinancial ServicesRisk |
| Salary | £Competitive |
| Currency | GBP |
| Start Date | |
| Job Ref | VAC-12295a |
| Job Views | 272 |
- Description
- A well-established specialist lender based in Central London is seeking a Legal & Compliance Manager to join their team on an ongoing temporary basis. You to be responsible for all Legal and regulatory compliance matters across the company, working with third parties and take a lead on all relevant matters thought out risk, compliance and fairness matters and also act as CASS SME for the business.
Duties -
- Act as the legal lead for regulatory compliance matters with an emphasis on bank regulatory issues including Compliance, whistleblower/ethics issues and New Products.
- Provide advisory legal support across the team and to members of Exec committee and the board
- Assist with compliance-related regulatory examination matters and embed a Legal and Compliance culture and infrastructure.
- Develop reports for the Board and senior leadership team on the efficiency of the compliance program,
- Keep abreast of changes in law and regulations for compliance matters under relevant UK legislation.
- Develop and execute a robust Compliance Plan in accordance with relevant regulations and Group policies.
- Advise internal clients, attend meetings, draft procedures and regulatory responses, perform legal analyses, and other legal matters as assigned
- Liaison with third parties such as external audit, regulatory bodies lawyers and solicitors
- To own regulatory reporting internally and externally on behalf of the company, work with FD on CASS guidance and provide advice in this area
- Enhance existing governance structure across the company for FCA CASS rules and European Safeguarding of Client Assets regulatory requirements
- Review and respond to customer complaints in collaboration Executive Office where appropriate documentation
- To deliver risk monitoring programme covering both regulated and unregulated business activities.
- Test and monitor control framework to ensure best practice compliance with internal policies.
- Monitor best practice through peer reviews and sector networks
- Gap analysis / impact assessment of forthcoming Conduct of Business regulatory changes
- To be considered for this role, candidates must have an in depth knowledge of the legal and regulatory framework and the regulatory environment, with extensive experience in compliance in Financial Services. Candidates must possess a strong knowledge of CASS rules and regulations.