Compliance Monitoring Manager

£48000 - £50000 per annum + car, free parking, bonus
29 May 2019
26 Jun 2019
Claire Tiley
Contract Type
Full Time

My client are a leading investment management organisation with their UK hub based in the Cotswolds. Due to an expansion of their critical first line of defence team, we are assisting with the recruitment of a Compliance Monitoring Manager.

Reporting into the Head of Risk and Compliance you will work in a stand alone compliance monitoring role and your remit will stretch from operations to advisory. Wherever there is risk, you will be responsible for compliance monitoring against it. Strong communication and relationship management skills will be critical as you liaise and work with the business and influence decision making as well as being hands-on in the delivery of the compliance monitoring plan.

The successful applicant will be able to demonstrate previous compliance monitoring experience within a financial services environment and a strong grasp and understanding of the FCA handbook. Particular experience in PRIN, SYSC, COBS will be highly advantageous.

The client has a preference for someone who has a relevant professional qualification in financial advice/or compliance industry qualification (CISI/CII or similar) although this is not essential.

This is a client who welcomes ambitious candidate applications as there is a strong long term career path on offer here and so study support will be offered to secure these qualifications if required.

The client is also willing to consider applicants from an audit background if they can demonstrate assurance experience within investments and pensions.

There is minimal travel with this role and the client operates a strong agile working policy. Benefits include free parking and strong bonus potential.

For more information, please click to apply.

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