Compliance Monitoring Manager
My client is a global financial services’ business who because of significant business growth, have a unique opportunity for a Compliance Monitoring Manager to undertake a key role within the organisation.
With a focus on Mortgages, the role offers a real opportunity for an experienced and knowledgeable individual to have an immediate impact on the development of appropriate compliance monitoring and the financial crime management framework as this exciting new offering delivers its strategy. Reporting to the Risk and Compliance Director, the role is key to ensuring the business unit has the necessary monitoring and control structure in place across the wider business, as well as to ensure compliance with anti-money laundering regulations and the avoidance of financial crime.
- These will include second line activities in developing appropriate compliance monitoring plans relating to new lending, product development and mortgage servicing, alongside the wider compliance framework covering areas such as information security and financial crime.
- Support the Risk & Compliance Director by providing day to day compliance and financial crime oversight and professional support across all business activities.
- Fulfil the role of “Nominated Officer” in support of the firm’s responsibilities for the prevention of financial crime, reporting directly to the firm’s Money Laundering Reporting Officer (MLRO) for this purpose.
- Provision of a central point of reference in support of the business, delivering technical compliance and financial crime expertise across the range of business activities.
- Ensure that all statutory and regulatory requirements are complied with in accordance with industry best practice standards.
- Ensure that regulatory developments (e.g. 4th Money Laundering Directive) are identified, interpreted and applied as necessary to maintain demonstrable compliance at all times.
- Work as a key member of the team to provide sound and pragmatic interpretation of any regulatory change that may affect the business unit or its different service offerings.
- The ability to use a wide range of analytical tools as well as project planning techniques.
- Given a constantly evolving business and environment, change management and the ability to understand the commercial and organisation impacts on the risk profile.
- Excellent interpersonal and presentation skills, persuasiveness and communication: both written and verbal. Good report writing experience, and liaison with colleagues to deliver and discuss findings.
- Flexible in approach to work required and build strong relationships across the business, being viewed as an approachable colleague with a ‘can do’ attitude.
- Strong analytical skills with attention to detail.
- Demonstrable leadership skills.
- Proven organisational capabilities.
- Strong PC literacy.
- Detailed knowledge and exposure to regulatory risks within the mortgage industry.
- Understanding of FCA Handbook primarily MCOB, SYSC & PRIN and their application.
- Detailed knowledge of anti-money laundering & financial crime legislation and guidance.
Salary range is broad and commensurate with experience but will reflect the significance of the role. As well as a competitive salary, they offer an excellent benefits package with a fantastic working environment.
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