Your new company
Are you passionate about compliance monitoring and assurance? Do you have experience of monitoring, testing, thematic reviews, surveillance, and oversight, as well as managing risks? If your answer is yes, then you might be the perfect fit for the Compliance Monitoring Manager role at a company in Southampton.
The company is a leading provider of advice, investments, and wealth management in the UK, helping over a million customers create prosperity for themselves and their families. They are currently seeking a Compliance Monitoring Manager to join their team and lead the delivery of a robust and effective compliance monitoring program.
Your new role
- Planning, executing, and reporting on a range of compliance monitoring activities, including desk-based reviews, on-site visits, thematic reviews, surveillance, and oversight.
- Identifying and assessing the key compliance risks and controls within the business and providing assurance of their adequacy and effectiveness.
- Escalating and following up on any compliance issues, breaches, or incidents and ensuring that appropriate remedial actions are taken.
- Providing feedback and recommendations to business on how to improve their compliance performance and culture.
- Liaising and collaborating with other compliance functions, such as compliance advice, compliance policy, and compliance governance, to ensure a consistent and holistic approach to compliance.
- Supporting the development and maintenance of the compliance monitoring methodology, framework, and tools.
What you'll need to succeed
- A relevant professional qualification in compliance, risk management or financial services, such as CISI, ICA, CII or equivalent.
- At least 5 years of experience in a compliance monitoring or assurance role within the financial services industry, preferably in wealth management or investment advice.
- A thorough knowledge and understanding of the UK regulatory framework and the key regulatory developments affecting the financial services sector.
- Strong analytical and critical thinking skills, with the ability to design and conduct effective compliance tests and reviews.
- Excellent communication and presentation skills, with the ability to deliver clear and concise reports and feedback to stakeholders at all levels.
- A proactive and flexible approach, with the ability to work independently and as part of a team.
What you'll get in return
- Salary dependent on experience
- Hybrid working
- 10% Pension scheme
- 26-day holiday
- Health insurance
- Life assurance
- Income protection
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.