Senior Manager Regulatory Risk & Compliance (CASS)

Paragon Executive
22 Jul 2017
15 Aug 2017
Contract Type

Senior Manager Regulatory Risk & Compliance

Large global bank operating in the fund administration sector is seeking a Senior Manager (VP) to join a newly formed team in the Regulatory Risk & Compliance division. This is a new role in a newly created division following some new legislative changes from the FCA which impact the custody and operations division of this bank.

Roles / Responsibilities:

-Assisting the Head of function to develop this new team within the regulatory control division.

-Design, create and implement structures, procedures, reports, audit plans for this new team.

-Manage all contact with the internal business units across various areas including:

  • Increasing awareness and importance of adherence to the new regulatory standards
  • Ensure an adequate training program in place across all operations to highlight the importance of compliance across day to day operations.
  • Monitor day to day operations to ensure adherence to agreed policies.
  • Escalate any breaches and assist in the performance of process review

-Create regulatory risk reporting and MI to monitor and assess compliance

-Sit on company risk committees, audit teams and other senior group level risk review teams.

-Be the go to person in the firm for this new regulation and ensure awareness is communicated across all internal teams up to and including senior management.

-Play an active part in regulatory risk related projects across the bank.

Education / Requirements:

-Must have experience working in a senior regulatory risk, compliance or internal audit role across the financial services sector.

-Detailed knowledge of the European fund management / administration environment from a legislative and regulatory environment is advantageous.

-A professional accountancy, risk or compliance qualification will be preferable.

-Ability to work in a pressurised and deadline drive environment

-First rate presentation and communication skills a must.

If you would like to discuss this exciting opportunity further, please apply by sending your CV to or call Robin Craig on 1 for a confidential conversation.

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