Compliance Manager - Assurance

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  • Published:

    9 months ago

The roleholder will be responsible for the construction, maintenance and delivery of an effective 2nd line annual assurance plan. Directing the Compliance Officers – Assurance, the roleholder will undertake risk-based monitoring activity, across all areas of the business, in line with regulatory requirements and internal guidance. The roleholder will assess business processes and risks, and evaluate internal controls to provide an independent appraisal of GLD’s internal control environment, and robustly follow up agreed actions to ensure closure. The roleholder will provide guidance and assurance to Senior Management on compliance to policy and procedure and the reporting of any identified risks.

Key Responsibilities

  • Produce an Annual Compliance Assurance Monitoring Plan
  • Have ownership of the delivery of the risk-based monitoring plan through the timely completion of assigned reviews in accordance with Compliance Assurance methodology
  • Conduct regular and structured second line of defence monitoring activities of specified review areas, and identify reportable issues and dimensions of risk
  • Communicate with key members of Senior Management in relation Compliance Assurance activity, and draft comprehensive and complete reports of review area
  • Produce a regular report of completed and planned activity, highlighting issues identified, actions agreed and progress against plan
  • Appraise the adequacy of internal controls and systems and provide an informed view on compliance with internal standards
  • Identify and communicate opportunities for continuous improvement to colleagues in the 1st line
  • Manage the timely closure of report actions and verify identified issues have been adequately addressed by management
  • Maintain internal control systems through the updating of monitoring frameworks
  • Undertake ad hoc reviews at the request of the Risk and Compliance Director in response to emerging business risks
  • Provide clear and effective leadership to the Compliance Officers - Assurance
  • Build, develop and maintain strong relationships with key internal stakeholders
  • Effectively and efficiently complete all duties and responsibilities as assigned and to company standards


Key Interfaces

  • Compliance Officer – Assurance
  • Operational Management and Senior Management
  • Risk and Compliance Colleagues – Director, Policy & Advice, Credit and Operational Risk
  • Head Office Departments as appropriate


Skills & Experience

  • Knowledge of the financial services industry and an understanding of associated Regulatory, Compliance and Risk Management frameworks
  • Experience of working in a 2nd line assurance role or 3rd line internal audit role desireable
  • Good communicator, both written and verbal, with experience of communicating with members of Senior Management, or the ability to demonstrate confidence in this area
  • Leadership of colleagues
  • An eye for detail, analytical approach and ability to be objective
  • Experience in presenting and discussing information in a logical and professional manner, and ability to manage discussions to effectively build consensus and drive forward-looking actions
  • A desire to learn and take on board feedback, with the ability to work independently and as part of a team
  • Display a genuine passion for compliance and a commitment to both personal development and development of the business
  • Effective interaction with all levels of management
  • High level of accuracy and attention to detail
  • Excellent communication skills, both verbal and written
  • Ability to deal with conflicting demands ensuring key priorities and deadlines are met through effective time-management
  • Innovative and a problem solver
  • Good organisation and planning skills
  • Ability to use Microsoft application
  • Professional qualifications – not essential, but should be willing to further their professional development e.g. ICA Certificates and Diplomas


  • Business Acumen
  • Customer Focussed
  • Corporate Behaviour
  • Communication
  • Personal Development
  • Leadership