Senior Compliance Specialist

Tasks

• Contribute to the design, implementation, and maintenance of the Compliance Monitoring Program (CMP), including Global Minimum Controls for Compliance and Financial Crime.
• Conduct ongoing testing of compliance and financial crime controls to ensure they meet both Group and local regulatory requirements. Track findings, recommendations, and corrective actions through to completion, escalating delays or deficiencies as necessary.
• Assess the adequacy and effectiveness of existing controls and recommend improvements to mitigate the risk of non-compliance.
• Assist with investigations, including root cause analysis and the identification of control weaknesses.
• Conduct gap analysis against Group systems, global minimum standards, and local legal and regulatory requirements, and assist with the implementation of required controls.
• Conduct thematic compliance reviews, producing clear, risk-focused monitoring reports and recommendations.
• Draft, review, and maintain CMP documentation, compliance policies, procedures, and manuals to ensure alignment with global standards and local regulations.
• Assist with the maintenance of key compliance documentation, including the Regulatory Obligations Register, the Regulatory Compliance Manual, and the Market Conduct Risk Assessment.
• Serving on the local Policy Desk and assisting with any inquiries received by the Group Policy Desk.
• Support the preparation of regulatory filings, internal Group reporting, and management information for governance committees and senior management.
• Provide data collection, analysis, and insights to support compliance reporting and decision-making.
• Identify compliance training needs and support the development and delivery of targeted training.
• Monitor regulatory developments and proactively assess their impact on the business.
• Support compliance efforts in change initiatives, new products, and systems.
• Support regulatory inspections, audits, and internal reviews, including preparing responses and coordinating interactions with regulatory authorities.
• Provide support for regulatory consultations and thematic reviews related to compliance, as needed.
• Build and maintain effective working relationships with key business stakeholders and second- and third-line functions.
• Challenge the business on regulatory interpretation and risk appetite.
• Support the embedding of a strong culture of compliance and conduct throughout the firm.
• Mentor junior compliance team members and help build their capabilities within the function.
• Deputies to the House of Commons, where appropriate.

Requirements

• Relevant ICA Professional qualification(s) or equivalent
• At least 3 years of relevant experience in compliance (or a similar role)
• A thorough understanding of the GFSC (local regulatory authority) and all other applicable regulations
• Knowledge of the banking and asset management industry is desirable but not required
• Experience in conducting compliance monitoring audits

We offer