Compliance Monitoring Manager
My client is a long established and highly regarded financial services organisation.
An exceptional opportunity exists for an individual to support the Head of Compliance in carrying out the monitoring of FCA designated investment, fund management, Pensions and banking business and advise on compliance issues to protect and enhance the reputation of the firm through the implementation of high standards of compliance.
- Ownership of the Compliance Monitoring Programme (CMP) and oversight of monitoring staff ensuring routine and ad hoc work tasks are completed on time and to a satisfactory standard
- To ensure all routine and ad hoc monitoring is completed to an acceptable standard and findings appropriately dealt with in accordance with the Group Standard CMP
- To oversee completion and development of the Client File Review process, ensuring reviews are undertaken in accordance with the agreed plan, and to an acceptable standard, and to present findings to Team Leaders and Front Office Senior Management as appropriate.
- Where appropriate to attend and provide compliance input on specific Business steering committees.
- To assist in responding to compliance enquiries from all areas of the business and providing pro-active advice where necessary.
- To undertake compliance and business projects when the need arises.
- A deep understanding of Compliance as a discipline, preferably within a wealth management, private banking environment, and the subsequent benefits from such implementation. They are open to considering candidates across other sectors within Financial Services providing they have operated at the right level.
- Motivates/inspires the team and its members to perform and add value to the broader firm
- Confident and comfortable communicating with teams and individuals across all hierarchical levels e.g. Team members, Directors, Board.
- At least 3 years in a similar role at a FCA and/or PRA regulated firm.
- Proven experience in monitoring and reporting of regulatory & conduct risk best practice
Salary range is broad and commensurate with experience but will reflect the significance of the role.
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