Compliance Monitoring Manager - Financial Services 12 month FTC

Cheshunt, Hertfordshire / Potters Bar, Hertfordshire / Watford, Hertfordshire
Up to £85000 per annum + Car allowance & benefits package
07 Oct 2021
06 Nov 2021
Claire Tiley
Employer Sector
Financial Services, Insurance
Contract Type
Full Time
0-25% Travel

Responsibilities will include:

  • Reporting into the Director of Compliance you will be directing and leading a team of experienced Compliance Monitoring Officers in the delivery of a 2nd Line of Defence comprehensive, outcome focussed and risk-based programme of compliance monitoring.

  • Leading the design and delivery of a Risk Based Compliance assessment and monitoring plan which focuses on conduct and other regulatory risks.

  • Lead, assist and complete assessments in line with the annual Compliance plan.

Desired Knowledge / Experience / Skills:

  • Leading a team of 4, you must be able to demonstrate previous managerial experience and this must be clearly articulated on your CV.

  • Ability to develop and maintain effective working relationships with stakeholders, business leadership teams and other governance functions.

  • Ability to present advice in a clear, timely and focused way.

  • Extensive experience and understanding of the Insurance sector / financial services products.

  • Detailed working knowledge of regulatory frameworks and requirements, particularly the FCA Handbook relating to the Insurance sector / products.

  • Ability to interpret the intended outcomes of regulatory rules.

  • Ability to take a risk-based approach to organising workloads for self to meet demanding and often changing priorities, ensuring that key deadlines are met.

The successful candidate will have previous compliance monitoring experience gained from within the financial services sector. Previous team leadership is essential, and Insurance would be highly advantageous.

The role will be split between home and office based working.

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