Compliance Monitoring Manager

Competitive Salary + Excellent Benefits Package
15 Jan 2021
14 Feb 2021
Contract Type
Full Time
0-25% Travel

Compliance Monitoring Manager


Competitive Salary + Training & Development + Competitive Company Pension + Award Winning Employee Share Plan + Flexible Working Hours + 25 Days Holiday + Excellent Working Culture in a Supportive Team Environment 


About Computershare

Founded in 1978, Computershare employs over 12,000 people across the globe, providing services in over 22 countries to more than 16,000 clients. With a market capitalisation value of over $7 billion, Computershare has a group turnover of over $2 billion per annum. A global market leader in transfer agency and share registration, employee equity plans, proxy solicitation, mortgage/loans services and communications, we also specialise in a range of other diversified financial and governance services and are a trusted partner of the UK Government.

Computershare is renowned for its expertise in data management, high volume transaction processing, payments and communications. Many of the world’s leading organisations use these core competencies to help maximise the value of relationships with their investors, employees, creditors, members and customers.

Our vision is to leverage our global network, specialised technology, local and global financial markets expertise and unsurpassed service levels to keep Computershare at the forefront of the industry. As the perfect partner for organisations seeking consolidated tailored solutions and superior service, we constantly strive to widen the gap in quality between us and our competitors.

We have three key values that drive everything we do:

  • Certainty – Count on us to deliver every time
  • Ingenuity – Look beyond today’s problems to find tomorrow’s solutions
  • Advantage – Unlock your competitive advantage


About the Role

This is a monitoring role within the second line of defence Compliance Team within Computershare’s three lines of defence operating model.

Responsibilities include monitoring and reporting in relation to Computershare Investor Services (CIS) Operational areas to assess compliance with regulatory requirements and internal policies / procedures.

The role requires scoping, planning and delivery of Compliance Monitoring reviews as part of the overall Compliance Monitoring programme to provide assurance to Senior Management and drive improvements in respect of regulatory standards throughout CIS.  The key areas of regulation applicable to CIS are the FCA Principles for Business and associated rules and guidance – e.g. COBS, CASS, SYSC, SUP, SMCR and DISP; Data Protection (GDPR); Anti-Money Laundering (AML) and other Financial Crime related matters as well as UK industry best practice guidelines.


What will you be doing?

  • Scope and plan monitoring reviews of CIS business areas in line with the risk based Compliance Monitoring Programme.
  • Complete testing activity through investigation, review and analysis across CIS’s operational activities to assess compliance with prevailing regulatory requirements, internal policies and best practice.
  • Identify and assess risks arising in the business making reference to prevailing regulatory requirements and best practice.
  • Liaise with all levels of staff across the business during the course of testing activity.
  • Produce objective, timely and well-presented monitoring reports and gain approval for distribution to senior management and CIS Directors.
  • Gain commitment from the business to address any issues identified.
  • Assess the completeness and accuracy of actions taken to address monitoring findings
  • Liaison with colleagues across Control & Governance, Risk, Compliance and Audit functions where required.
  • Provide training and guidance for less experienced team members where relevant.


What are we looking for?

  • Financial Services Compliance qualifications e.g. CISI Investment Operations Certificate, ICA Certificate/Advanced Certificate in Compliance.
  • Experience within a compliance role, ideally compliance monitoring, for an FCA authorised and regulated firm.
  • A sound understanding of the FCA Handbook - in particular COBS, CASS, SYSC, SUP, DISP and AML, obtained from working in an FCA authorised and regulated firm.
  • Audit or Accountancy experience is advantageous.
  • Data Protection Act / GDPR experience is advantageous.

Key Competencies:

  • Strong interpersonal, presentation and communication skills: both written and verbal.
  • Compelling influencing and negotiation skills.
  • Excellent analytical skills with high levels of attention to detail.
  • Proactive, self-starter who can work with minimal direction and supervision.
  • Proven organisational and time management capabilities.
  • Resilience to deliver under pressure.


Working for Computershare

We pride ourselves on offering continuous training & development along with career progression opportunities for all employees.

We also offer 25 days holiday, excellent pension scheme, shareholder incentive plan and a flexible employee benefits scheme which also includes the option to buy additional annual leave. 


Keeping our Employees Safe 

We’re currently performing all interviews, assessments and background checks online to ensure the safety of everyone involved.   

Most of our employees are working remotely. For people who need to be in the office we’re following government guidelines on safe working. This includes regular cleaning, maintaining safe distances and limiting the number of people in the office at any one time. 

Should you be successful in securing a role and it can be performed from home, we will arrange for equipment to be sent to you and your onboarding and training will be provided remotely. 

The welfare of our employees is of paramount importance to us, and we will continue to do everything we can to keep our people safe during this difficult time.

All successful candidates will be required to undergo the Computershare Pre-Employment Screening Process before commencing employment. Employment will be subject to satisfactory clearance on background checks including Identification, Passport Validation, Finance, Qualification, Employment / Personal referencing and Criminal Record Basic Disclosure checks.

Computershare Investor Services PLC is registered in England and Wales No 3498808 and the registered office address is: The Pavilions, Bridgwater Road, Bristol, BS13 8AE.

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