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Compliance Monitoring Manager (12 month contract)

  • Location

    Liverpool

  • Discipline:

    Compliance

  • Job type:

    Contract

  • Salary:

    £ Competitive Salary

  • Consultant:

    Paul Clayton

  • Email:

    pclayton@merje.com

  • Job ref:

    PC/14839

  • Published:

    12 days ago

The role will involve:

  • Act as daily manager to the Compliance monitoring team responsible for managing daily workloads;
  • Act as line manager to Trainee Monitoring Officer responsible for performance management and appraisals;
  • Take responsibility for the development, maintenance and oversight of compliance monitoring within Group subsidiary businesses in all locations as directed, and for the delivery of those systems to deadline;
  • Ensure that the quality and tenacity of monitoring work completed by the Compliance monitoring team is to a high standard, is accurate and well documented;
  • To negotiate and effect change in compliance with regulations where shortfalls arise within compliance monitoring in a manner which is commercially sensitive but meets those regulatory objectives;
  • To act as a member of the Compliance function’s management team, and in doing so actively participate in the development of the function, its strategic plan and fulfilment of the Compliance function’s role within the business;
  • To assist the management of the Compliance function to develop systems of working which are in support of the business strategy within the firm, and assist management of the business by identifying, measuring and managing risks which may give rise to regulatory concern.
  • Maintain a flexible approach to working practices and provide such wider technical and management support as may be required by the Head of Compliance from time to time;

Key Requirements:

  •  Previous Compliance Monitoring experience within an FCA environment
  • Previous team leading experience essential
  • Ideally some experience within Investment Management