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Compliance Monitoring Manager

  • Location: Wiltshire
  • Salary: £55,000 - £65,000 + Car allowance + Bonus + Benefits per day
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Paul Sherlock
  • Duration: 4 Months
  • Expiry Date: 24 June 2022
  • Job Ref: PS/19097W

Advertising Template

Job Title Compliance Monitoring Manager

Our Client is a successful financial services business that are hiring a Compliance Monitoring professional to join the firms expanding Compliance team. You will develop and deliver the Compliance Monitoring Methodology focusing on the FCA Handbook and measure for fair customers.

Key Responsibilities:

• Design, Deliver and Manage an Annual Risk Based Compliance Monitoring Plan, producing high quality reviews.

• Provide assurance that customers are receiving fair outcomes, aligned to regulatory expectations.

• Document testing clearly and concisely, in a re-performable manner and in accordance with Compliance Monitoring methodology.

• Reporting to management on levels of Compliance Assurance and/or any issues arising from specific monitoring activity.

• Provide advice and guidance to the business on necessary actions to achieve regulatory compliance.

• Plan and execute the timely and accurate delivery of the corporate General Control Plan.

The Ideal Candidate:

• Excellent knowledge of FCA regulations, including PRIN, SYSC, PROD, ICOBS, DISP, CONC, FCG, FCTR and RPPD.

• Experience in a Compliance role involving Monitoring reviews.

• Track records of identifying poor customer outcomes and making suitable recommendations to drive change.

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.

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