Compliance Manager Compliants Legal Resolution Investment Banking

Compliance Manager

Assist Complaint Resolution Director(s)( CRD) with, complaint research and investigation and closure

Main Duties 

RESEARCH AND INVESTIGATION 40 %

- Review and assess artefacts
- Collate Case files from the artefacts available in various locations
- Review Complaint and agree action required with CRD
- In liaison with CRD, produce Case summary report including assessment of regulatory, legal and commercial risks
- Assist CRD with drafting of requests for Sanction
- Play a key role in ensuring all customer information is accurate and kept up to date on complaints management system.
- Monitor complaints and ensure all complaints remain accurately reported and tracked and that we adhere to agreed complaint protocols.

CLIENT MANAGEMENT 40%

- Draft letters including 8 week/substantive/MP letters
- Support Complaint Resolution Director with preparation for customer meetings and follow up on any post meeting feedback or action points.
- Ensure a robust customer contact strategy is in place and is reviewed regularly with the Complaint Resolution Director, until closure of the complaint.
- By exception if required, attend client meetings
- Review of SAR responses prior to issue, ensuring appropriate documentation provided
- Work with Document Retrieval team to obtain all relevant documentation.
- Ensure that data integrity and Professional Standards requirements are maintained and issues are actioned.
- Ensure compliance with mandatory Risk policies and procedures relating to governance, regulatory compliance (including Financial Crime), operational and legal risk.
- Involvement in projects that impact on business change as required.

Business Management: 10%

Other 10%

- Attend team meetings and contribute fully, including suggestions for ways of improving customer service.
- Seek, share and embed best practice. Establish and actively manage own personal development plan and seek to improve in areas of development through undertaking the necessary training, skills development and coaching.

Complete all necessary training including Quarterly compliance training