Compliance (Regulatory)- Assistant Manager / Supervisor

Role details

CassonX are delighted to be recruiting for this highly recognised name in International Banking world. This business is a prominent member of the Association of Foreign Banks, whilst offering boutique working conditions supporting their Private Banking, Wholesale Banking and Treasury focusses. CassonX has had a longstanding relationship with this client, and know that even though they have had a lot of change over recent times, like many other similar small banks have had to adjust to new regulations, they have a very highly imaginative leaders in the business that provide new ways of thinking at all times.

To be considered for this role, CassonX are looking for someone who is technically proficient in handling the FCA Handbook and with FCA principles and rules, particular focus to SYSC, COBs and FCG. Your experience will be gained in a UK banking environment with preference given to those who showcase a Professional Regulatory Compliance certificate or Diploma.

This very varied role will see you support compliance frameworks, AML/Sanctions/Counter Terrorism Financing, and assist with the UK Regulatory Compliance monitoring plan by executing reviews independently on various themes such as suitability and appropriateness, client categorisation and financial promotions. You will complete regulatory reports, provide MI, assist in drafting, editing, enhancing existing and new policies and procedures. You will also assist with all tasks related to Complaints Handling, Gifts & Hospitality, Breaches and Personal Account Dealing.

A comprehensive spec is available to those who submits a relevant CV.

CassonX Limited are committed to providing fair employment opportunities to all applicants. We encourage anyone to apply, regardless of their background, and promote a fair and inclusive recruitment process based on merit. If you require any assistance throughout the interview process to improve your experience, kindly let us know.