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Compliance Audit Manager

  • Location: United Kingdom
  • Salary: £65,000 + Benefits per year
  • Job Type:Permanent

Posted 22 days ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Expiry Date: 13 October 2022
  • Job Ref: PC/19547

​Job Description: This is a newly created position due to continued growth of the business and presents an opportunity for the role holder to author the Group Internal Audit Plan. The successful candidate will report to the Head of Compliance and will be responsible for leading, managing and delivering internal audit reviews in line with the plan, providing a 3rd line of defence to the business.

The role will involve:

• Plan and execute end to end audits across Group Companies in alignment with applicable policies and regulatory requirements and guidelines, systems and procedures in a timely fashion to support strategic objectives, improve effectiveness and mitigate risks.

• Review regulatory processes and identify improvements to enhance operational efficiencies and promote a culture of continuous improvement.

• Meticulous documentation and reporting of findings and outcomes including responses and proposed action plans, for third party inspection.

• Develop a deep understanding of the main risks facing Group Companies and an up to date understanding of the relevant regulatory framework.

• Support Executive Board Members with achieving business quality and risk mitigation objectives.

• Ensure the ongoing competency of T&C Supervisors

Key Requirements:

• Strong background working in a 3rd line of defence role with audit experience in the Financial Services industry.

• Strong working knowledge of all FCA Handbooks relevant to a Financial Planning Business and GDPR.

• As a minimum, hold the Diploma in Financial Planning or equivalent Compliance qualification.