Technical Compliance Assurance Manager

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  • Published:

    about 2 years ago

Job Description: 

Financial Services business, located in the West Midlands with a presence across Pensions, Investments and Asset Management are looking to hire a Technical Compliance Assurance Manager to be located out of their West Midlands based Head Office.

Key responsibilities include:

  • Undertake allocated Compliance Assurance reviews in line with the agreed monitoring plan. 
  • To provide independent assurance to the Board over the compliance of the business with regulatory and legislative requirements inclusive of FCA and Data Protection Act Principles.  Provide specialist assurance on regulatory risks relating to asset management to ensure policyholder funds are managed appropriately and in line with regulatory requirements. .
  • Support Senior Compliance manager in the oversight of external Asset Managers.
  • Validate the adequacy, effectiveness and operation of procedures and controls in respect of Asset Managers that minimise and mitigate regulatory risks to ensure compliance with applicable regulations, within the risk appetite set by the Board and that processes adhere to the conduct principles of the Company.
  • Undertake close out meetings with key stakeholders to clarify and agree findings
  • Draft and present assurance reports that objectively and accurately summarise findings, formulate recommendations and agree management responses and timescales which address the root cause and are proportionate to the risks identified. 
  • Decide on the overall review rating and findings importance ratings within the agreed rating format and present to key stakeholders
  • Monitor and track completion of actions, review evidence and confirm completion
  • Contribute to the content of the Risk Universe and preparation of a risk based assurance plan, with a particular focus on risks relating to non-profit, with-profits and linked asset oversight.


The Person

  • Good understanding of Asset Management, including investment types, fund structures, mandates, processes and oversight arrangements.
  • Good knowledge of FCA rules, conduct risk and regulations particularly with regard to asset management relevant requirements including COBS 21 and MiFID.
  • An understanding of auditing and/or compliance monitoring techniques.
  • Good understanding of compliance and operational processes.
  • Good understanding of life assurance and/or broader financial services industry.

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.