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Compliance Monitoring Manager – Investment platform / IFAs/ Retail FS

  • Location: London
  • Salary: £75,000 - £85,000 per year
  • Job Type:Permanent

Posted over 1 year ago

  • Sector: Compliance
  • Contact: Kirstie Burn
  • Contact Email:
  • Expiry Date: 22 June 2020
  • Job Ref: KBU/16579

Job Description:                               The purpose of this role is to be responsible for the operation of the Compliance Monitoring Programme including delivery of the annual risk based Compliance Monitoring Plan – and provide leadership to the Compliance Monitoring Officers.


Key responsibilities include:

  • Lead and maintain an effective Compliance Monitoring team so that is has sufficient expertise, resource and a programme of activities appropriate for the Group’s business
  • Lead independent 2nd line risk based monitoring, risk assessments and adhoc reviews of procedures, business and compliance processes to identify and escalate potential gaps in adherence to applicable laws, regulations, regulatory guidance and policy
  • Review, refresh and deliver the annual risk based Compliance Monitoring Plan including completing risk assessments to help identify key areas for review
  • Engage proactively with business stakeholders to influence timely and effective and proportionate remedial action in response to the outcome of monitoring activities
  • Provide relevant, accurate and timely MI in a format which is clear and engaging in particular by overseeing the preparation of the monthly Compliance Monitoring report
  • Maintain an effective relationship and work collaboratively  with the Internal Audit team which includes joint planning and managing overlaps



The Person

  • Educated to degree level
  • At least 5 years’ experience of working in a financial services audit or compliance monitoring role in investment and or / insurance
  • Proven track record of successfully delivering Audit work or Compliance Monitoring Programmes
  • Ideally bring previous Platform experience
  • Life company experience
  • Any experience of having worked in the Regulator would be welcome
  • 2 years’ team management and staff development experience
  • Excellent oral and written communication skills
  • Committed and organised with good attention to detail
  • Proactive and dynamic with strong technical knowledge