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Compliance Monitoring Assistant Manager

  • Location

    Leeds

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    c. £45,000 + Excellent Benefits

  • Consultant:

    #

  • Email:

    psherlock@merje.com

  • Job ref:

    PS/16178

  • Published:

    about 1 month ago

Our client is a well-respected Wealth Management business who offer a broad range of products to their customer. An excellent opportunity has arisen to join the business in the role of Assistant Compliance Monitoring Manager where you will support the timely completion of the compliance monitoring plan and to undertake T&C activities for the Front office. You will also need to assist the Compliance Monitoring Manager and Director of Regulation in meeting the firm’s business objectives

Key responsibilities include:

  • Contribute to discussions with Director of Regulation and Monitoring Manager in order to meet the rules of the Financial Services and Market Act and to monitor relationships with internal colleagues to ensure implementation of the compliance strategy across the claims division
  • Supervise and monitor business risks in accordance with regulatory requirements and internal procedures, both desk and field based. Complete personal tasks in accordance with the Monitoring Plan as directed
  • Review and monitor work relating to specific monitoring issues, including suitability, branch procedures, and XO services. Implement proficient communication strategies across claims and core business departments to provide day-to-day support to ensure compliance with Group Standards
  • Responsible for the ongoing development of branch standards and to specifically take the lead in training branches for remedial work and ensuring improvement in standards for branches with unacceptable assessments. Provide regular reporting to keep the Corporate Services Director, Claims Board, Senior Management Team and Heads of Business informed of compliance risks
  • Assess and sign off new entrants in stage 2 by monitoring calls and conducting face to face role play interviews Represent compliance during the client audit process including on-site attendance, the provision of relevant information and the ownership of any compliance related actions
  • Report any risks which may be detrimental to clients or to the firm’s reputation, which arise from inadequate procedures, systems or data handling
  • Ensure compliance with FCA requirements, the Branch Manual, Code of Conduct policies and T&C framework

Essential:

  • Sound knowledge of FCA regulations, having passed an appropriate qualification for the role
  • Second line monitoring experience
  • CISI Level 4 Investment Advice Diploma or equivalent
  • Time management skills, good analytical skills
  • Organisational and project management skills
  • People management skills

 

Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.