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Compliance Monitoring Manager

  • Location

    Leeds

  • Discipline:

    Compliance, Risk Management

  • Job type:

    Permanent

  • Salary:

    c.£40,000 + Bonus + Benefits

  • Consultant:

    #

  • Email:

    psherlock@merje.com

  • Job ref:

    PS/17106

  • Published:

    about 1 month ago

Our client is a well-respected and award winning Financial Services business who are enjoying a period of significant growth. An exciting opportunity has arisen to join the firm’s successful compliance department in the role of Compliance Monitoring Manager. In this role you will be responsible for ensuring that the compliance monitoring plan is effectively developed and delivered within agreed timeframes and that all actions arising from reviews are managed to closure.

Key responsibilities include:

  • Assisting the Head of Risk and Compliance in developing and refining a risk-based compliance monitoring plan and continuously evaluating the plan to ensure it remains relevant and fit for purpose, promotes efficiency optimisation and longer-term benefits for the business.
  • Recommending remedial action to mitigate regulatory risk whilst promoting a healthy, strong, compliance culture across the business.
  • Supporting the business with the interpretation of regulation.
  • Managing, coaching, and developing a team of compliance monitoring officers, upskilling their knowledge of internal business processes, enabling them, to conduct more effective reviews, whilst building the team’s reputation as a critical friend.
  • Ensuring that all areas of the business, deliver processes in line with the core principles of privacy, security, resilience, compliance, and quality, with a particular focus on regulatory and contractual compliance, risk reduction and continual process improvement.
  • Responsibility for the execution of the annual compliance monitoring plan through comprehensive reviews.
  • Identifying and informing the business on any future relevant regulatory changes, ensuring they are reflected in the compliance plan and communicate any potential impact on the business.
  • Producing relevant, accurate and timely compliance reporting and management information to executive, governance, and risk committees

The ideal Candidate:

  • A minimum of two years’ experience in a compliance manager role within an FCA regulated environment.
  • Management experience of coordinating a team of compliance officers to support the internal compliance program.
  • Detailed knowledge of the FCA Handbook, CCA and CRA, ICO and OFCOM regulations.

 

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.