Compliance Assurance Manager - Wholesale, Commercial & Retail Banking

Location: London

Department: Compliance Assurance

Employment Type: Full-time

About the Role:

Reporting to the Compliance Assurance Team Lead-with an additional reporting line to the Chief Compliance Officer-this role offers the opportunity to operate with a strong degree of independence while contributing to key governance objectives.

Requirements: Compliance Assurance experience within the banking sector.

Key Responsibilities:

• Deliver independent assurance reviews as part of the annual Compliance Assurance Plan, ensuring alignment with internal methodology.
• Lead or collaborate in risk-based assessments of regulatory and financial crime controls across the organisation.
• Engage with stakeholders throughout the review lifecycle, from scoping to final reporting, ensuring clear communication and timely resolution of identified issues.
• Produce clear, concise, and well-documented review reports, including root cause analysis and agreed management actions.
• Maintain robust documentation to support quality assurance and review re-performance.
• Contribute to a culture of continuous improvement and high-quality execution within the team.
• Monitor industry developments and maintain up-to-date knowledge of UK regulatory frameworks relevant to banking operations.
• Participate in the preparation of reports for senior leadership and governance committees.
• Support and guide junior team members as part of ongoing capability development.
• Deputise for the Team Leader when required, representing the team in meetings and forums.

What We're Looking For:

• Compliance Assurance experience within the banking sector.
• Demonstrable experience in internal audit or compliance assurance, ideally within financial services.
• Strong knowledge of UK regulatory requirements, including those relating to AML, sanctions, anti-bribery and corruption, fraud, and tax evasion.
• Familiarity with relevant industry standards.
• Excellent analytical and report writing skills, with the ability to assess complex information and articulate findings effectively.
• Understanding of products and services within wholesale, commercial, and retail banking.
• Proven ability to manage multiple priorities, work independently, and influence stakeholders.

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