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Compliance Monitoring and Surveillance Manager
- London, South East England
- £55,000 - £65,000 per annum
- 6 applications
- Job type: Permanent, full-time
- Date:
- Reference: 21220946
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Duration: n/a
My client a leading international banking organisation is currently looking for a Compliance Monitoring and Surveillance Manager to join their business. You will be required to support/conduct multi-jurisdictional and complex regulatory risk assurance and monitoring reviews and surveillance activity within business units and central functions. The job will include all parts of the monitoring and surveillance processes, including planning, execution of risk assessments and monitoring/surveillance, reporting and follow up. The role holder will be expected to work flexibly and cover all aspects of compliance regulation covered by the relevant monitoring and oversight team.
The role holder will identify legal and regulatory requirements and the risks arising from them. They will identify new and emerging risks from business and regulatory developments and will assess their impact on the monitoring programmes and plans. The role holder will also be responsible for performing compliance risk assessments on a regular basis and updating risk assessments at the completion of monitoring reviews.
The role holder will execute monitoring/surveillance activity, including scoping, planning, resourcing, execution and follow-up of sometimes complex, multi-jurisdictional reviews. They will participate in monitoring visits to business units and central functions, in line with the agreed plan. The monitoring visits may include any of the business areas covered by the team and any of the technical compliance areas. The role holder will assist with and/or lead the production of formal reports, identifying compliance issues and recommending changes to management controls and processes.
The ideal candidate will have strong interpersonal skills, enabling effective communications, written and oral, at all levels, coupled with a broad base of Compliance knowledge or the willingness to learn the regulatory requirements for a number of business areas. Specifically, the candidate will have extensive knowledge and experience in one or more of the following areas: Financial Crime (KYC/AML); Sales/Suitability; Investment product/asset management; Operations and outsourcing; Ability to multitask or manage a number of reviews at the same time; Interviewing skills and the ability to present, negotiate and influence effectively; Ability to provide information in report format; An enquiring mind, with the ability to assimilate and interpret information quickly. The candidate will be confident in recommending practical solutions, or actions, that will add value to the business. They will also be willing to work in isolation and under pressure, in order to meet deadlines.
The role holder will identify legal and regulatory requirements and the risks arising from them. They will identify new and emerging risks from business and regulatory developments and will assess their impact on the monitoring programmes and plans. The role holder will also be responsible for performing compliance risk assessments on a regular basis and updating risk assessments at the completion of monitoring reviews.
The role holder will execute monitoring/surveillance activity, including scoping, planning, resourcing, execution and follow-up of sometimes complex, multi-jurisdictional reviews. They will participate in monitoring visits to business units and central functions, in line with the agreed plan. The monitoring visits may include any of the business areas covered by the team and any of the technical compliance areas. The role holder will assist with and/or lead the production of formal reports, identifying compliance issues and recommending changes to management controls and processes.
The ideal candidate will have strong interpersonal skills, enabling effective communications, written and oral, at all levels, coupled with a broad base of Compliance knowledge or the willingness to learn the regulatory requirements for a number of business areas. Specifically, the candidate will have extensive knowledge and experience in one or more of the following areas: Financial Crime (KYC/AML); Sales/Suitability; Investment product/asset management; Operations and outsourcing; Ability to multitask or manage a number of reviews at the same time; Interviewing skills and the ability to present, negotiate and influence effectively; Ability to provide information in report format; An enquiring mind, with the ability to assimilate and interpret information quickly. The candidate will be confident in recommending practical solutions, or actions, that will add value to the business. They will also be willing to work in isolation and under pressure, in order to meet deadlines.
