Compliance Monitoring Manager

As a Compliance Monitoring Manager you will be responsible for the design and delivery of assurance test programmes to evaluate the exposure to regulatory Compliance and Conduct risk. This role provides independent second line of defence (2LOD) assurance under the leadership of the Head of Monitoring as delegated to by the Chief Compliance Officer (CCO).

As a Compliance Monitoring Manager we are looking for someone to:

• Be responsible for the design and delivery of assigned Regulatory and Conduct Monitoring assurance reviews in particular those that are considered to be complex within strict timelines and in line with the Compliance Monitoring methodology
• Ensure Regulatory and Conduct Monitoring and independently assesses how the firm consistently delivers fair customer outcomes and meets regulatory requirements to encourage safe growth and protection of the firm from regulatory and/or conduct risks associated with business activity
• Produce high quality reports that clearly articulate the conclusions of the assurance activity including an accurate measurement of the level of any regulatory and conduct risk
• Provide appropriate recommendations to the business based on the observations and findings of the monitoring activity
• Assist the Group Head of Compliance in the delivery of their delegated responsibilities from the SMF16. Be able to act as a deputy and ensure continuity during Head of Compliance absence for example strategic planning governance reporting annual planning and Compliance Risk Universe assessments
• Provide significant input to the design of the Compliance Monitoring Annual Plan effectively analysing and evaluating the risks to the business to identify the areas where assurance is required
• Role model strong behaviours and customer-centric qualities that set a standard of high performance
• Contribute to a strong team ethic that also optimises the teams abilities and maximises the teams capabilities
• Be responsible for maintaining accurate records in relation to open findings and actions and the management of the tracking process
• Ensure that reporting to the business is accurate and timely
• Complete effective assessments of evidence submitted by business areas to close findings and individual actions and make appropriate recommendations in this regard

Qualifications :

Essential:

• Significant experience acting in the capacity as a Compliance Monitoring Manager (or equivalent).
• Previous experience of working within Financial Services and a regulated environment
• Knowledge of project management skills in particular in identifying key milestones and deliverables and driving delivery against these.
• Extensive knowledge and experience of the Financial Conduct Authority (including the applicable regulatory requirements contained within the Handbook) and their associated supervisory approach including having worked directly with the regulator.
• Significant understanding of regulatory and conduct risk with the ability to assess and size risks and issues appropriately and in line with the Enterprise Risk Management Framework.
• Excellent communication relationship building and influencing skills at a strategic level with the ability to communicate effectively to a variety of audiences including PF and Group Executives.
• In-depth understanding of Financial Conduct Authority regulatory framework operating within the UK.
• A natural appetite and inquisitive mind for horizon-scanning that can think laterally about any potential consequences for the company
• A natural tendency to interpret a situation and foresee opportunities or risks for the team / company and act and escalate appropriately
• Strong written and verbal communication that is articulate delivered professionally can influence negotiate and generate commitment through appropriate positioning.

If you feel you have some of the skills mentioned above but not all please do still apply and we would be happy to have a further discussion with you in regards to your suitability for the role.

Additional Information :

Together embraces diversity and inclusion and are proud to be an equal opportunity workplace. Not only do we welcome difference we celebrate it support it and really value our colleagues for who they are. We are committed to building a team that represents a variety of backgrounds perspectives and skills.

If you feel youd benefit from any support or reasonable adjustments during any stage of the recruitment process please dont hesitate to let us know when completing your application. This information will be picked up by our team so we can try and put steps in place to help you be at your best through this process.

Please note that all successful applicants will undergo relevant employment reference financial and criminal record checks.

#TMHP

Remote Work :

No

Employment Type :

Full-time

Department / Functional Area: Compliance
Experience: years
Vacancy: 1