Our client is an established financial services business who are recruiting an individual to oversee the operation of the Compliance department, through the design and implementation of consistent policies and procedures.
• Lead and inspire a team of Compliance Associates, focussing on personal accountability for development, sharing feedback through regular 1:1s, creating a culture of openness, knowledge sharing and feedback to the wider team.
• Responsible for supporting and challenging Compliance Associates on their design and delivery of Compliance Monitoring activity, to ensure a robust assessment is provided of the adequacy and effectiveness of the measures put in place to ensure regulatory compliance.
• Lead and oversee the end to end delivery of reviews, whilst providing robust and auditable quality assurance on the outputs; including relevant and timely feedback to colleagues.
• Take a proactive and risk-based lead in the development of departmental operating policies and procedures to drive improvements whilst delivering sustainable commercial objectives.
The Ideal Candidate:
• Previous Compliance Monitoring experience, gained from working within a financial services organisation.
• Working knowledge of current regulatory principles applicable to the Society – PRA, FCA, Codes and other relevant legislation.
• Ability to convert strategic priorities and goals into operational plans
• Ability to lead and motivate small to medium teams to deliver sustained high performance.