Our West Midlands based client are looking to appoint a Compliance Policy & Advice Manager on a hybrid basis.
In addition, be responsible for line management responsibilities for the Compliance Business Partners.
The purpose of this role is to provide sound, accurate and commercial advice on regulatory (conduct and prudential risk) matters affecting the business, that will enable the them to operate in accordance with industry best practice as well as meeting regulatory standards.
The role holder will be responsible for the independent oversight and management of the Compliance function across the business.
We are working exclusively with a successful Investment Management firm who are looking for a Head of Compliance (SMF16/17) to report directly into the board.
Key Responsibilities
Effectively communicating and building relationships with the regulator, trustee and custodian;.
We are delighted to present an exciting opportunity for a Safety and Compliance Manager to join our client, a well-established Social housing provider, based in the West Midlands and surrounding area.
This role will be at the heart of the organisation, working closely with the executive team and technical services to ensure high-quality and safe properties for residents.
Working for our Compliance team means translating our regulation into action and making sure the industry understands and adheres to the legislation set out to protect the public's interest.
The team are responsible for testing licensees against the requirements of holding a GB gambling licence, are involved in raising standards initiatives and work to ensure that consumers are protected from gambling harm.
You will be joining a team based in Birmingham which performs a variety of surveillance tasks with respect to the Bank's Europe, Middle East & African operations, which will include Trade Surveillance, Communications Surveillance and Information Barriers Surveillance across Corporate & Investment Banking.
The role will also involve participating in Surveillance projects, including contributing to enhancement of existing surveillance scenarios, new products, financial exchanges and jurisdictions, as well as other enhancements to the effectiveness or efficiency of surveillance.
This role provides assurance to the Security Compliance and Standards Manager, that applicable areas of the business are compliant with legislative and airport security requirements, including undertaking quality assurance checks in line with company's Quality Assurance and Security Management System (SeMS) frameworks.
The Certification Regime forms part of the broader Senior Managers and Certification Regime (SMCR), which is implemented through Deutsche Bank's UK Employee Licensing function within Employee Compliance.