Compliance Monitoring Manager

  • Competitive
  • Édimbourg, Ecosse, Royaume-Uni Édimbourg Ecosse GB
  • CDI, Plein-temps
  • RBS
  • 16 août 18 2018-08-16

See job description for details

The Business
Join us as a Compliance Monitoring Manager in Edinburgh

  • This role will provide a great opportunity to build and develop your technical knowledge within the trustee and depositary environment
  • Joining us just after the introduction of our new platform, MIG, you'll help to shape and enhance the operating rhythm of the team, while we transition from one platform to another
  • You'll be sitting within NatWest Trustee & Depositary Services (TDS), a subsidiary of the bank that provides corporate trustee and depositary services to collective investment schemes

What you'll do

We'll look to you to deliver the full compliance monitoring programme for all NatWest TDS clients in accordance with investment and borrowing restrictions. You'll provide support and guidance to the Compliance Monitoring team and TDS clients to aid understanding of the programme and any queries raised. You'll also monitor scheme assets to ensure compliance with the relevant FCA regulations and scheme objectives.

You'll also:
  • Provide a high quality service within the TDS Risk function, ensuring client queries are responded to promptly and regulatory guidance is provided
  • Investigate, monitor and resolve potential FCA regulatory breaches
  • Conduct manual reviews of scheme assets where appropriate, and record, resolve and analyse confirmed breaches and breach trends
  • Complete monthly reporting for the FCA, and keep fully updated on FCA regulatory changes
  • Attend client meetings and conference calls with minimum support and provide regulatory guidance where appropriate
  • Provide support and coaching to the Compliance Monitoring team with complex queries and regulations

The skills you'll need

We're looking for someone with knowledge of security products and markets, and an understanding of the FCA regulatory framework in relation to collective investment schemes. You'll have an awareness of CASS rules, and you'll have the ability to develop and introduce new procedures to improve efficiency.

You'll also demonstrate:
  • A keen eye for detail
  • Strong team working skill
  • The ability to share specialist knowledge with others to aid their understanding and decision making

How we'll reward you

In return, we offer a competitive salary and you'll also join our retirement savings plan. You can also choose from a selection of protection, healthcare or lifestyle extras from RBSelect, our fully flexible reward programme.

Visit our reward and benefits page for more information on the benefit packages we offer.


At RBS, we want everyone to feel welcome, regardless of your background or needs. If you need adjustments making to your working environment, we'll do everything we can to support you. As part of this commitment, we offer flexible working options for some of our roles - find out more .

As a Financial Services organisation we comply with and support the requirements set by our Regulator, the Financial Conduct Authority (FCA), which are designed to protect our customers. This role falls under Conduct Rules of the Individual Accountability Regime (IAR) and is subject to pre-employment screening. This means if your application is successful, you'll need to satisfy some important background checks before you can start working with us. These will include a full credit check, a criminal record check, residency and right to work checks.