VP Central Compliance/Control Room

  • Location:

    London, England

  • Sector:


  • Job type:


  • Salary:

    £70000 - £80000 per annum

  • Contact:

    Lauren Ashwood

  • Job ref:


  • Published:

    10 months ago

  • Expiry date:


  • Start date:


A global Investment Bank are looking for a VP to join their small Compliance team based in London. The role will focus on Central Compliance and Control Room activities. It is essential you have experience within Control Room and SMCR.

The key responsibilities will be:

  • Develop and implement a fit for purpose Control Room to ensure that all aspects of managing conflicts risk are addressed and compliant with European regulatory rules
  • Approval, rejection and logging of Gifts & Entertainment requests, ensuring compliance with European legislation and UK regulatory requirements
  • Conduct 2nd LoD monitoring and testing reviews on the Business and report findings to senior management
  • Creation and maintenance of a robust SMR Framework to ensure the banks compliance with UK
    regulatory requirements and best industry practice
  • Liaise directly with the FCA and PRA on all matters relating to SMR and resolve questions and
    queries promptly
  • Providing advice, support and training to Senior Managers on their responsibilities under SMR
    and meeting regularly with the Head of the European Region to provide updates on SMR and
    advise on regulatory developments


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