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Deputy Manager

Job Type
1 Sep 2022

Andy File Associates Limited is working as a Recruitment Agency on behalf of our client with regards this permanent position.

Job Role

Deputy Manager is responsible for supporting the Head of Legal & Compliance in managing the Legal, Compliance and Financial Crime functions of the two UK entities.

Job Responsibility

• Develop and maintain policies and procedures of the client to ensure compliance with legal and regulatory obligations with respect to Compliance and Financial Crime

• Manage day-to-day operation of Financial Crime function, including oversight of business, operations and support functions with respect to Compliance and Financial Crime policies and procedures

• Provide advice and assistance to Senior Management, department heads and branches on Compliance and Financial Crime matters

• Develop and implement a Compliance monitoring plan to assess the adequacy and effectiveness of internal systems of control with respect to Compliance and Financial Crime

• Perform oversight of regulatory reporting program and liaise with departments and third party service providers to ensure timely and accurate regulatory reporting

• Independent review and investigation of Compliance and Financial Crime issues

• Collaborate and liaise with internal and external stakeholders, including regulators

• Keep abreast of changes in applicable laws and regulations and provide guidance to Senior Management, department heads and branches on proposed regulatory changes

• Identify potential Compliance and Financial Crime risks; develop and implement appropriate controls to address these risks

• Perform Financial Crime Risk Assessments for areas including KYC, AML, Sanctions, ABC, Fraud and Market Abuse

• Periodic and ongoing review and update MLRO Report and Country Risk Assessment

• Ongoing and periodic reporting to Head of Legal & Compliance, Senior Management, Legal & Compliance Committee, Board Risk Committee, Head Office and regulators

• Performing oversight and providing support to the legal team


• Experience in a Compliance / Financial Crime leadership role ideally within mid-sized international banking environment

• Excellent written and verbal communication skills

• Excellent working knowledge of Money Laundering Regulations, JMLSG, and the FCA principles for the banking and financial services sector

• Sound knowledge of KYC, AML and Sanctions processes and understanding of the requirements for risk-based approach to on-boarding, periodic reviews and monitoring

• Strong analytical skills to use data / metrics for risk monitoring

Key Interactions/Networks

• Head of Legal & Compliance

• Senior Management

• Department Heads

• Branch Managers

Reporting Relationship

• Head of Legal & Compliance

Person Specification

• Over 10 years of Banking experience with 7 years in Compliance/Financial Crime, working in similar capacity

• Strong Influence and Impact skills

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  • Job Reference: 699470420-2
  • Date Posted: 1 September 2022
  • Recruiter: Andy File Associates Limited
    Andy File Associates Limited
  • Location: London
  • Salary: On Application
  • Sector: Executive Positions
  • Job Type: Permanent