Senior Compliance Monitoring Officer
Well known financial services firm are looking to recruit a Senior Compliance Monitoring Manager, the role can be located in either central Leeds or central Manchester. Acting as the deputy to the Head of Compliance, the role has responsibility to monitor and assess the effectiveness of policies and procedures to ensure compliance with the firm’s regulatory obligations by carrying out the Compliance Monitoring Plan.
- Leading the review of core business controls and processes as part of the CMP, ensuring that regulatory and business standards, policies and procedures are adhered to.
- Responsible for ensuring that all CMP working papers are maintained to a high standard.
- Responsible for effective liaison with stakeholders to discuss findings and exceptions. Providing constructive challenge, along with recommendations for change to relevant business areas.
- Keeping abreast with changes in products/activities of the firm and/or regulations that may have impact on risks to the firm.
- Responsible for developing and producing regular Compliance reports for Executive Risk Committee and Board Risk Committee, containing relevant, timely and informative updates on CMP.
- Lead on the delivery and embedding of a strong Compliance culture across the organisation.
- Provide expertise and support to the Compliance Managers and Analysts to enable effective oversight and challenge
- Experience of working within a financial services regulated firm, preferably within a compliance function
- Maintains up to date knowledge and understanding of both internal and external development in the area of Compliance including on developing regulatory requirements and industry best practices.
- Confidence to constructively challenge existing processes and controls with colleagues at all levels within the business
- Can demonstrate the ability to positively manage conflict
- Well organised with strong administrative skills and attention to detail
- Ability to collate and analyse large volumes of complex data and interpret high level policies and regulations in a time-critical environment for onward communication at all levels including Senior and Executive Management, and externally