Compliance Assurance Manager

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £40,000 - £50,000

  • Email:


  • Job ref:


  • Published:

    over 2 years ago

This is a second line of defence role, providing oversight, maintenance and development of the compliance assurance framework, systems and controls.  


  • Co-ordinating, undertaking and reporting the results of compliance oversight activities
  • Maintaining, monitoring and executing the compliance plan
  • Providing expert opinion and support on compliance matters
  • Completion of Anti Money Laundering reviews and Audits
  • Maintaining the Financial Crime policy, adherence and oversight activities
  • Managing complaints, escalation and resolution processes to regulatory timelines
  • Management of Compliance Risk within the Banks' governance processes
  • Developing and maintaining risk and compliance training plans, and monitoring adherence
  • Keep up to date with industry knowledge to ensure appropriate competency levels are maintained
  • Be familiar with the business and current regulatory and compliance initiatives in a way that is likely to meet the Financial Conduct Authority compliance requirements
  • Carry out duties following internal policies and procedures in accordance with applicable laws, rules, regulations, good governance
  • Liaise with other members of the Risk and Compliance team to ensure consistency and effective dissemination of best practice across the Company
  • Contribute to the development of compliance procedures by identifying areas of weakness and making suggestions for improvement
  • Assist in developing and implementing an effective risk and compliance culture throughout the Company
  • Co-ordinate and respond to compliance queries received from the business
  • Responsible for a team of Compliance Officers, working with first line of defence compliance and QA functions


  • 5+ years’ operating in a management or supervisory level for a major company or division of a large corporation within Retail Banking and UK Financial Services
  • A compliance and financial crime professional, with 5+ years’ experience in compliance management operating within a regulated financial institution / retail bank environment
  • In depth knowledge and experience of operating within a BTC and BTB lending business
  • Sound working knowledge of UK Banking regulation and legislation and standards
  • Experience in the development and maintenance of Compliance plans and frameworks, and associated standards
  • In depth knowledge of Compliance assurance methodologies
  • Experience of developing and maintaining compliance structures to promote a risk aware culture that maintains regulatory compliant arrangements


  • Good knowledge of Microsoft Word, Excel and PowerPoint is essential
  • Good level of numeracy and literacy
  • Effective verbal and written communication skills
  • Ability to work under pressure and to meet deadlines

Personal Characteristics

•     Understands the difference between the spirit and letter of compliance

•     Organised and logical approach to task delivery

•     Focused with proven ability to deliver

•     Enjoys change and is adaptable to a changing working environment

•     Confident, is persistent and has belief in own ability

•     Takes initiative with a ‘can do’ attitude

•     Identify potential problems and seek advice/consultation when req


  • Degree level education or equivalent qualification
  • Relevant professional qualifications from compliance, risk or mortgages
  • Member of a recognised Compliance Institute

Other info

  • Role will be based in London with travel to other locations as and when required