Opportunity Details

Posted: 10/06/2019

Compliance Analyst

United Kingdom, London Bishopsgate
Schedule Type
Full Time
Job Family
Risk Underwriting
The Role

Shawbrook are looking for a Compliance Analyst to join our team based in London, Redhill or Brentwood. As a Compliance Analyst you will support the bank in delivering two significant regulatory requirements in the form of its data privacy framework and ongoing maintenance of the senior managers & certification regime (“SMCR”). 

The privacy framework embeds a culture of privacy that enables compliance, establishes effective privacy policies, procedures, processes and controls, evaluates privacy policies, procedures, processes and controls to ensure continued effectiveness. 

This is a 2nd line of defence role working with the business unit data protection representatives to ensure compliance with the General Data Protection Regulation and the UK Data Protection Act 2018 and other relevant privacy legislation.

  • Key responsibilities include the following:

    • To assist the DPO in delivering the privacy program framework, support them in the performance of their duties and act as the main point of contact in the absence of the DPO.
    • Assist the business to manage privacy related risk events, ensuring they are recorded managed to closure and escalated to the DPO as needed.
    • Oversee and support the first line in managing data subject rights requests.
    • Analysing privacy risk events and subject rights data to identify trends and issues and producing metrics for inclusion in the conduct risk and risk appetite dashboards and DPO reports.
    • Oversee adherence with privacy and data protection related policies and manage the maintenance of related documentation including records of processing activities, privacy notices, policies, guidance and risk assessments.
    • Providing support and guidance to the Data Protection Representatives to maintain and improve the privacy programme.
    • Representing the Privacy Office within projects and working groups.
    • Managing queries into the data privacy inbox.
    • Assisting the 2nd Line compliance monitoring team in their privacy, data protection and security compliance reviews.
    • Co-ordinating the Privacy Steering Group and preparing meeting agendas, materials and minutes.
    • Co-ordinating SM&CR Working Group, preparing meeting agendas, materials and minutes.
    • Maintenance of documentation relating to SM&CR (e.g. Assessments/ letters/training docs) up to date
    • Supporting the Working Group with keeping abreast of regulatory changes – coordinating training where necessary.
    • Co-ordinating the completion of activities relating to any change to SMF or Certified individuals and manage the annual re-certification process including maintaining the Bank’s checklists/register on the status of SMF or Certified individuals (e.g. status of F&P assessments) and the Group’s SMR Responsibility and Governance Maps and Material Risk Taker Structure Charts
    • Supporting the Working Group with any regulatory returns/reporting requirements and acting as the first line response for queries from the Bank’s MRTs on the Regime
    • Co-ordinating any necessary changes to Statements of Responsibilities with relevant senior managers
The Person

Suitable candidates will have the following experience:          

Technical / Specialist Knowledge & Skills

  • Hold a Data Protection certification (ISEB/BCS/PC.dp/CIPPe)
  • Proficient with MS Office applications
  • Information Governance and Records Management knowledge or experience
  • Knowledge of Senior Managers and Certification Regime, and Conduct Rule an advantage
  • Excellent communication skills, including an ability to write complex policy ideas into a usable framework for business use
  • Excellent analytical, project and process management skills
  • Excellent formal meeting minute drafting skills
  • Excellent knowledge of the financial services regulatory environment gained through previous experience in a regulatory focused role; ability to navigate FCA and PRA Handbooks
  • Excellent relationship management skills – this role will regularly interact with individuals across the Bank’s functions as well as members of its Executive team.



  • Experience in FS environment
  • Experience within a Compliance, Data Privacy and/or Operational Risk role
  • Working knowledge of GDPR, PECR and UK Data Protection Act 2018
  • Experience of SMCR


Personal Skills

  • Self-starter/ability to manage own workloads
  • Adaptable and flexible
  • Ability to work as part of a team.
  • Enthusiastic “can do” attitude
  • Able to work under pressure and to tight deadlines
  • Accuracy and attention to detail
  • Establishes effective working relationships at all levels
  • Establishes effective working relationships at all levels

This role is an SB4 within Shawbrook’s internal banding structure