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Compliance Monitoring Manager

  • Location

    Glasgow

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    +£60,000 + Benefits

  • Consultant:

    #

  • Email:

    pclayton@merje.com

  • Job ref:

    PC/16660(G)

  • Published:

    7 months ago

This is a newly established role in a growing Risk & Compliance function.

Key responsibilities include:

  • Develop appropriate Compliance Monitoring methodologies, procedures and templates.
  • Prepare the annual risk based Compliance Monitoring plan.
  • Undertake monitoring reviews in accordance with the plan, ensuring timely delivery, and preparing clear and concise reports highlighting key findings.
  • Establish collaborative working relationships with line management across the business to ensure the effective conduct of reviews and to discuss findings, agree actions to mitigate or avoid risks outside the Group’s risk appetite.
  • Undertake desk-based monitoring including analysis and assessment of control data across the compliance risk universe, and report on findings, agree mitigating actions, etc.
  • Where appropriate, and as agreed in conjunction with the CRO, provide assistance to the business with ensuring that proposed controls are sufficient to meet risk appetite and legal and regulatory requirements.
  • Undertake special reviews and investigations, as direct by the CRO.
  • Prepare regular reporting for the CRO on progress against the monitoring plan, key findings from reviews and the status of management actions to address findings.

The Person:

The successful candidate will be a highly experienced compliance monitoring manager with 3 + years of monitoring experience and will need to:

  • Have a strong knowledge and experience of working in the wealth management industry and a good understanding of FCA requirements.
  • Demonstrate the ability to work well on their own with relatively little supervision as well as working as part of the wider R&C team
  • Have excellent report writing skills, including the ability to be clear and concise in distilling and articulating findings from monitoring review

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.