Compliance Monitoring and Oversight Manager

Leeds, West Yorkshire
c. £71,000 + Benefits
04 Dec 2018
03 Jan 2019
Job Sector
Experience Level
Contract Type
Full time, Permanent

Our client is a highly regarded Financial Services business who are currently recruiting for a Compliance Monitoring & Oversight Manager. The main purpose of the role is to lead and direct the Compliance Monitoring & Oversight team to monitor and assess the adequacy and effectiveness of the measures and procedures put in place to ensure regulatory compliance.

This Client does not provide sponsorship.

The role:

  • Develop, design and oversee the undertaking of risk -based second line regulatory compliance monitoring reviews, (including conduct reviews: thematic, routine outcomes, financial crime and fraud and GDPR) which provide assurance that the business is complying with relevant regulations by the operation of effective processes and controls.
  • Ensure the annual Compliance Monitoring Programme is delivered to time and quality and the relevant stakeholders are engaged.
  • Oversee Compliance Monitoring action tracking through to completion and closure validation; ensuring consistency and quality of Compliance Monitoring reviews and reports.
  • Develop and maintain suitable MI to inform governance units, and as a confirmation of early warning mechanism that regulatory risks are adequately mitigated, or where weaknesses in and risk management activities require escalation.
  • Undertake oversight activities to ensure that the Compliance and Monitoring team is organised in a manner that enables competent delivery of the agreed monitoring plans and Group objectives.
  • Develop the capability and capacity of team and/or service resources to drive sustained commercial success
  • Communicate the team and/or service delivery priorities, motivating and developing others to be high performing

Key Requirements:

  • Experience within a Compliance Monitoring role.
  • Working knowledge of regulatory principles applicable to the business – PRA, FCA, Codes and other relevant legislation.
  • Understanding of financial services industry

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