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Compliance Manager - Monitoring

Employer
Hays
Location
Southampton, Hampshire
Salary
£60,000 - £70,000
Closing date
28 Dec 2023
Reference
4490934

View more

Employer Sector
Financial Services
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance

Job Details


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.

Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays.co.uk

Company

At Hays, we know that finding the right role at the right time takes careful consideration. As lifelong career partners we’re with our candidates each step of the way.

Whether you’re seeking a job for right now, a career change, or to move up the career ladder, we have the expertise, the up-to-date knowledge, connections and training to help you get where you want to go.

Providing an unmatched wealth of jobs across industries and professions, using our insights and market leading salary checker, employer relationships, pathways and support, we bring roles that challenge and excite you.

And it doesn’t end there. Our expert consultants are here to help get you more than your next job – offering training and upskilling via our free-to-use My Learning platform.

Company info
Location
London
GB

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