Compliance - Team Leader

Compliance Monitoring and Assurance Programme

• Independently deliver and lead timely and robust Compliance Assurance and Monitoring reviews across the Group to assess the effectiveness of compliance controls and programmes to confirm that the Group is operating within its policies and procedures and in line with applicable laws and regulation. This includes the assessment of customer outcome across the full product lifecycle when necessary.
• Ensure that risk-based testing plans are aligned with emerging risks, and regulatory requirements, adapting them as necessary to respond to new risks or regulatory changes.
• Managing the closure and standard of response to the actions agreed from Compliance Assurance Monitoring reviews. Recording operational management responses and evidence, tracking progress and conducting proportionate follow up validation assessments.
• Responsible for the delivery of Compliance Assurance and Monitoring reviews inline with internal quality standards whilst adhering to the Compliance Assurance Methodology. This includes overseeing the performance of your team members and support other colleagues, where required, to meet these requirements.
• Ensure stakeholders awareness of emerging findings consistently throughout the course of review to deliver a no-surprise’ outcome.
• Prepare well written draft reports that provide holistic information and key recommendations that add value to business performance and outcome.
• Work with the Compliance Quality and Support Manager to lead assurance excellence, apply best practices and implement process enhancement.
• Deputise for Compliance Assurance Manager and other Senior Leadership team where required for reviews and engagements.

Risk Assessment and Management

• Play an active part in compliance risk assessments, in collaboration with the Compliance Senior Leadership team, identifying, quantifying, and prioritising compliance risks.
• Monitor regulatory developments and changes in the industry to adapt and update assurance frameworks and methodologies accordingly.

Stakeholder Engagement and Communication

• Build and maintain effective relationships with key stakeholders, including Risk, Audit, Legal, and Operations, to support a strong compliance culture across the organisation.
• Communicate key compliance findings, risks, and issues to senior leadership, providing recommendations for ongoing risk mitigation and improvement.
• Act as a compliance ambassador, ensuring that business units understand compliance requirements and are engaged in compliance efforts across all levels.

Team Leadership and Development

• Manage Compliance Officers and Sr. Compliance Officers, providing mentorship, support, and direction to ensure high-quality work and professional development.
• Supervise the work performed by reporting staff and review documentation to ensure the quality of deliverables, adequacy of testing and recommend development actions to Compliance leadership team.
• Coordinate with the Compliance Quality and Support Manager to drive continuous improvement and plan professional development for team members. Develop subject matter expertise in core UK banking areas applicable for the bank.
• Provide constructive, open and timely feedback to support personal and career development of team members to help achieve their full potential enabling them to perform tasks as expected and enhance overall performance and meet goals.
• Contribute to develop and delivery of training for compliance team members on monitoring and testing methodologies, compliance updates, and regulatory changes.
• Foster a collaborative and compliant culture, building strong relationships within the compliance team and across other departments.
• Act as an ambassador for the bank’s compliance and conduct risk culture and standards, always demonstrating the highest standards of behaviours and integrity. Champion the Groups Purpose, Vision, and Values
• Develop and maintain your own continued development plan to support your continued competency.
• Ensure that you fully understand and comply with the organisation’s Risk Management Policies as they relate to your area of responsibility and demonstrate in your day to day work that you put customers at the heart of everything you do.
• Ensure that you fully understand and comply with the organisation’s Data Governance Policies as they relate to your area of responsibility and demonstrate in your day to day work that you treat data as an important corporate asset which must be protected and managed.
• Maintain the company’s compliance standards and ensure timely completion of all mandatory on-line training modules and attestations.