Senior Compliance Monitoring Manager

Crossflatts, West Yorkshire (Home Working Opportunities Available)
Competitive Salary + Excellent Benefits Package
05 May 2021
19 May 2021
Contract Type
Full Time
0-25% Travel

Crossflatts, West Yorkshire (Remote Working Opportunities Available)

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

We are looking to recruit a Senior Monitoring Manager to join the CLS Compliance team, on a permanent basis. This is an excellent opportunity for an experienced compliance monitoring professional.

This team is responsible for monitoring standards of regulatory compliance across the CLS business functions and providing independent ‘second line’ challenge within the three lines of defence risk management framework. This is a great opportunity for candidates with a strong understanding and experience of working in a regulated financial services firm. Ideally you will possess a sound working knowledge of regulatory compliance requirements for mortgage lending and servicing. In relation to the wider regulatory and conduct risk related responsibilities regarding the achievement of fair customer outcomes.


What will you be doing?

We’re looking for someone who is enthusiastic about the identification of risks and issues, making recommendations, and working with the business to agree actions to address these where necessary.

This role will see you manage and deliver reviews within the CLS Compliance Monitoring Plan, including coverage of Topaz Finance Limited and services provided by CLS to its clients via Computershare Mortgage Services and Homeloan Management Limited.

You will ideally possess comprehensive experience of Compliance Monitoring in respect of secured and unsecured lending in a regulated environment. You will be responsible for conducting a range of monitoring reviews over the course of the year to include detailed scoping, testing and reporting in order to provide robust assurance over regulatory risk and compliance requirements. Activity will involve assertively proposing recommendations to the business where exceptions and/or improvement opportunities have been identified. This may be to enhance processes and control and/or complete remedial actions to improve adherence and/or improve customer outcomes.

You’ll lead individual Compliance Monitoring reviews and provide support to maximise individual and team performance where work is shared. Working with business areas and key stakeholders across all levels to actively engage them in taking responsibility for risk and control testing and provide advice and guidance on compliance reporting procedures.

You’ll hold significant responsibility for the interpretation of key financial services regulation and associated guidance from the relevant competent authorities. Experience in developing and maintaining policies, procedures, and associated practices in a second line Compliance Monitoring team is desirable.


What are we looking for?

We are looking for a candidate who holds substantial experience of working in a regulated financial services environment, with strong knowledge of business practices, procedures, the regulatory framework and associated rules and guidance, including:

  • FSMA;
  • FCA Handbook - in particular, MCOB, CONC, the Principles for Business, SYSC, PERG, DISP, and SUP;
  • TCF and Conduct Risk; and
  • Republic of Ireland Regulation.

For this role it is essential you hold one or more of the following qualifications:

  • Institute of Financial Services Certificate in Mortgage Advice and Practice (CeMAP); and/or
  • CeMAP Bridge plus Financial Planning Certificate (FPC); and/or
  • CII Mortgage Advice Qualification (MAQ) plus FPC.


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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