Matt Carter

Compliance Manager   Overview  To support a comprehensive review and remediation exercise that aims to align policies with regulatory requirements and Group Standards. Over 12 months, you’ll engage in critical tasks such as uplifting our policy framework based on a recent gap analysis, collaborating with business stakeholders to design and implement effective compliance controls, and ensuring thorough documentation and tracking of project deliverables. You’ll also assist in preparing regular reports for senior management and Board committees.   Responsibilities Play a key role in enhancing the Compliance Policy Framework by implementing recommendations, crafting refreshed policies, and ensuring alignment with UK regulationsDrive the review of business processes while designing and implementing robust controls within Compliance and 1st line, ensuring our revised policies are seamlessly integratedStrong technical knowledge of Financial Conduct Authority Handbook rules, with desirable experience in Consumer Duty and Product Governance.  Experience and KnowledgeStrong regulatory compliance background working within 1st or 2nd line, ideally in Insurance but wider financial services would be considered.Strong technical knowledge of Financial Conduct Authority Handbook rules, with desirable experience in Consumer Duty and Product Governance.Understanding of risk management frameworks and controls.

Senior Compliance Manager Overview  An exciting opportunity to join a highly regarded International Insurance company. You'll collaborate closely with different business units to design and implement robust compliance controls, monitor adherence to laws and ethical standards, and foster a culture of compliance through training and ongoing communication. Reporting directly to senior leadership and engaging with regulators to ensure operations not only meet but exceed industry standards. Responsibilities  Assist the Head of Compliance in responding to regulator requests and proactive regulatory notifications.Lead horizon scanning activities to identify forward-looking risks, leveraging insights from other business units, and review Compliance Training materials for risk impacts.Support the Head of Compliance with executive and Board/Board committeeManage day-to-day oversight of the UK Senior Manager & Certification Regime (SMCR) alongside HR, including maintaining core SMCR documents and training for new Senior Managers.Strong technical knowledge of Financial Conduct Authority Handbook rules, with desirable experience in Consumer Duty and Product Governance. Experience and KnowledgeStrong regulatory compliance background working within 1st or 2nd line, ideally in Insurance but wider financial services would be considered.Strong understanding of relevant UK regulatory requirements.Ability to translate complex regulatory requirements into clear, actionable guidance for business stakeholders.Understanding of risk management frameworks, controls, and Insurance Conduct of Business rules and related regulatory requirements.

Senior Compliance Manager Overview  This role is to help with the day to day running of the Compliance operations, working closely with the Head of Compliance, and other team members, to ensure the Compliance department is run efficiently, all tasks are completed in a timely manner and team projects are kept on track. Responsibilities  Lead the delivery and management of day-to-day compliance activities.To provide day-to-day compliance support and advice to management, staff, and external parties within the Compliance Advisory teamAssisting the Compliance team with the application, maintenance and evaluation of the compliance policies and procedures;Promoting awareness of regulatory principles and requirements and provide support for their implementation;Assisting the Compliance team with providing advice, training and guidance to the business on regulatory matters;Providing assistance in the resolution of Risk Events identified within the companyAssisting the Compliance team with monitoring outside regulatory developments and proactively sharing; Experience and KnowledgeStrong Compliance background working within Investment Management/ Financial PlanningStrong understanding of relevant UK regulatory requirements.Ability to keep up-to-date with current and future regulatory changes that affect the firm’s business and informing relevant teams of the same.Adheres to the ethical standards of behaviour and code of conduct issued by the FCA under the Senior Managers Regime.Ability to challenge in a constructive way, and influence others to deliver processes and solutions in line with regulatory and best practice requirements.

Overview To lead the management of compliance and financial crime across the operations and implement policy to meet regulatory requirements enabling the business to respond to regulatory and legislative changes.Ensure that a strong compliance and financial crime culture is recognised and embedded across the Bank.To support the Executive in achieving their Strategic Plan and objectives in a compliant manner by providing appropriate challenge and diligence.Responsibilities Accountable for ensuring all managers, as set out in the Organisation Chart fulfil their responsibilities thereby ensuring that full regulatory and statutory compliance is maintained at all times within the Bank.To develop and implement the Compliance Framework/Strategy for the bank to meet the regulatory requirements.Ensure that the Bank abides by the Banking: Conduct of Business Sourcebook.Keep senior management and/or related departments notified as to applicable regulatory returns to be completed and timeframes for submission to the FCA/PRA/other RegulatorsAdvise senior management and staff on changes in the rules and regulations and compliance standards including keeping them informed about potential developments in this area.Overseeing and implementing policies, procedures and controls to prevent and detect money laundering and other financial crime within the Bank.Overseeing and assisting Senior Management as required in the establishment and ongoing maintenance of the AML/CTF framework.To constantly develop and maintain policies and procedures of the AML/CTF framework in line with evolving statutory and regulatory obligationsReceive and assess all internal Suspicious Activity Reports (SARs) with onward reporting to the National Crime Agency (NCA) when required.Oversight of First Line of Defence (1LoD) procedures and monitoring programmes to ensure that the unusual transactions are identified and analysed.Experience and KnowledgeMinimum 10 years of experience in areas of compliance and Financial crime holding SMF16&17 Strong understanding of relevant UK regulatory requirements.Ability to keep up-to-date with current and future regulatory changes that affect the firm’s business and informing relevant teams of the same.Adheres to the ethical standards of behaviour and code of conduct issued by the FCA under the Senior Managers Regime.