Branch Compliance Manager UK
On-siteLondon, England, United Kingdom
Job Summary
Lead the implementation and maintenance of the USBE Corporate Compliance and Risk assessment framework for the UK branch and design delivery of risk frameworks supporting Third Country Branch status. Act as the designated point of contact with local regulatory bodies, facilitate Second Line of Defence assurance programs, and prepare compliance reports within specified deadlines. Monitor local legal and regulatory developments for potential compliance obligations and engage support functions on changes. Promote a culture of compliance through active engagement with management and staff, providing advice, guidance, and training as required. This role requires working from a U.S. Bank location three or more days per week.
Required Qualifications
- Third level qualification (degree or similar) in a relevant subject (e.g. law, business, finance, etc.)
- 6+ years experience in a Compliance role within Financial Services, preferably within a Credit Institution, Payment Services firm, or MiFID Investment Firm
- Experience of UK Regulatory regime and proven experience of regulatory engagement at senior level
- Knowledge of key compliance and regulatory topics, including Deposit taking, PSD 2, MiFID II and CASS
- History of practical application of Compliance risk management practices
- Proven track record of working on own initiative and delivering practical outcomes to a professional standard
- Excellent project management skills with a strong emphasis on prioritisation, communication and delivery
- Demonstrable experience of interaction and influencing at a management level
- Experience in managing different stakeholders across first and second lines of defence
- Strong oral and written communication skills
- Collaborative in approach with strong emphasis on delivery and execution
- Excellent communication skills required to manage third party relationships
- Ability to use insights and relationships to influence and deliver
- The ability to build connections and partnerships within own business area and beyond, through formal and informal channels, utilising considerable tact, diplomacy and people skills
- Build partnerships and promote a culture of teamwork to drive on U.S. Bank
- Build strong customer relationships and deliver customer-centric solutions
- Hold self and others accountable to consistently achieve meaningful results
- Appropriately identify and manage risks, in compliance with applicable laws, rules and regulations, and with Company Policy
- Maintain high ethical standards; gain the confidence and trust of others through honesty, integrity and authenticity
- Comply at all times with the Fitness and Probity Standards
- Applicants agree to permit the Company (or its agents) to conduct such due diligence as it deems necessary to satisfy itself on reasonable grounds that you comply with the Fitness and Probity Standards
- Applicants agree to provide the Company with all information and/or documentation relating to your qualifications, experience, employment history, financial soundness and other interests that the Company requests for that purpose
- This role requires working from a U.S. Bank location three (3) or more days per week
Desired Qualifications
- Masters and / or relevant professional qualifications would be an advantage
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