W1siziisimnvbxbpbgvkx3rozw1lx2fzc2v0cy9nzxjqzs9qcgcvam9ilwjhbm5lci5qcgcixv0

Compliance Monitoring Manager - Home Based

  • Location

    Birmingham

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    + benefits

  • Consultant:

    #

  • Email:

    pclayton@merje.com

  • Job ref:

    PC/16747

  • Published:

    about 1 month ago

The role is to design and implement the compliance monitoring plan within the business and will include compliance oversight on a risk basis of key third-party suppliers. It will follow the framework of a risk-based compliance monitoring programme plus investigate any relevant or material issues/exceptions. 

Key responsibilities include:

 

  • Develop a risk-based compliance monitoring plan fit for the company’s size, scale and complexity.
  • Delivering and implementing risk-based compliance monitoring reviews as detailed within the annual compliance monitoring plan.
  • Ensure compliance monitoring methodology and reporting is adopted by the business and to oversee that business compliance arrangements are delivered within the appropriate risk appetite, regulatory tolerances and regulatory requirements. 
  • Prepare necessary reports including findings, actions for key stakeholders, covering monitoring exceptions and progress within the monitoring plan. 
  • Assist the CRO with the preparation of reports to relevant boards and committees, highlighting any specific high-risk areas, management of actions and progress against the compliance monitoring programme. 
  • Maintain awareness of global regulatory developments with regards to all activities undertaken by the business. 
  • Provide technical support to the wider compliance and risk team to maximise added value and efficient use of resources.  
  • Promote a good risk and compliance culture across the business.

 

 

The Person:

 

  • Significant experience of working in compliance and understanding of the FCA rules
  • Confident guiding senior executives on compliance matters
  • Confident solving complex compliance related problems
  • Experience of improving processes to ensure the company is compliant and performing effectively