Compliance Monitoring Manager

40000.00 - 55000.00 GBP Annual
08 Oct 2021
16 Oct 2021
Employer Sector
Banking & Finance - Retail
Contract Type
Full Time

My client, a leading Investment Solutions company, are looking for a Compliance Monitoring Manager to join their team. As Compliance Monitoring Manager you will deliver a compliance monitoring plan by creation and maintenance of associated risk control frameworks whilst working alongside the Compliance Managers.

Key responsibilities

  • Leading and delivering the Compliance Monitoring Plan and allocating resources accordingly. Providing MI and progress reports on the Monitoring Plan to Executive Committee and senior management.
  • Undertaking allocated Compliance Monitoring Reviews within agreed timescales to support the timely delivery of the approved Compliance Monitoring Plan
  • Ensuring the Compliance Monitoring team function as an independent and objective body that reviews and evaluates compliance issues and concerns within the business.
  • Identifying potential areas of compliance vulnerability and risk and helping to develop, implement, manage and coordinate corrective action plans for the resolution of problematic issues, as well as providing general guidance on how to avoid or deal with similar situations in the future.
  • Identifying and raising breaches of rules, regulations, policies, procedures, and Standards of Conduct and evaluating or recommending the initiation of investigative procedures.

Skills and Experience required

  • Expert knowledge of relevant FCA requirements and regulatory framework, along with an ability to find, analyse and apply the relevant details as and when needed.
  • Previous experience of developing and applying compliance policy.
  • Continue to sustain necessary knowledge, skills and expertise to maintain ongoing competence in a technical role.
  • Well-developed analytical and reasoning skills.
  • Experience of operating within a company that has experienced rapid growth ideally within wealth management.

This is a permanent position, based in Bristol City Centre and offering a salary of GBP40,000 - GBP55,000 dependent upon experience.

Apply today or contact for further details.