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Senior Compliance Manager, Licensing and Examination Management


London, United Kingdom


The Senior Compliance Manager – Licensing and Examination Management provides compliance program governance support. This role is the initial point of contact and liaison with regulators, audit teams (internal and external), bank partners and vendors/third party service providers and is responsible for all things related to the maintenance of licensing. This role will report directly to country Compliance Officer/MLRO but will also be accountable to the Global Compliance team located in Seattle which responsible for global standards and best practices.

License/Certification/Registration Applications, On-going Maintenance, Reporting and Renewals

· Assist in preparation of and file all required certifications, surety bonds, and other filings as required,
· Prepared and ensure all monthly, quarterly, annual reports, and assessments are submitted to supervisory authorities.
· Ensure licenses and registrations are current and renewed on time.
· Coordinate preparation and submission of change in management and change in circumstance documentation as may be required for license or registration requirements.
· Assist in preparation of any new license or registration applications.

Public Policy Initiatives and Other Regulatory Communications

· Coordinate internal compliance communications.

Internal and External Exam Management
· Provide on-going support on regulatory examinations, internal audit reviews, risk assessments and related efforts.
· Liaison and communicate between company, external partners, auditors, supervisory agencies and authorities.
· Document and assist in tracking exam findings.

Senior Management/Board/Governance Reporting
· Archive and maintain compliance reports, internal and external audit reports.

Regulatory Complaints Handling and Monitoring and Tracking
· Coordinate with regulators regarding regulatory complaints submitted via regulators.
· Compile and coordinate any reporting associated with complaints.
· Assist in analysis and evaluation of regulatory complaints, audit items and business data to identify trends and solutions to moderate to complex business problems.

Vendor Management
· Assist and document vendor and service provider due diligence for compliance related service providers

Regulatory Training Coordination and Recordkeeping and Tracking
· Communicate and monitor compliance training requirements.


· 3+ years of experience in Licensing, Regulatory Reporting or exam management.
· Background in compliance, legal assistance, accounting or financial controls beneficial.

Additional Skills:
· Experience with and previous exposure to internal control functions and regulators


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