Our client is a leading financial services business who are currently recruiting for a Compliance Assurance Manager. The main purpose of the role is delivering against the risk based framework for the management of third parties in order to meet FCA standards.
- Ensure FCA compliance and compliance with other regulatory standards
- Own the Third Party Management (TPM) Compliance and Audit reporting
- Drive a risk based approach to Relationship management meeting compliance and regulatory expectations
- Incorporate changes to regulation and compliance by performing regular assessments to demonstrate how the business meets the standards
- Lead the auditing of third parties and onsite visits by assessing and validating systems and controls.
- Use the compliance framework and asses and validate controls at third parties
- Provide Head of Third party Management lead with assurance that all activities and business area complies with all requirements set out by the FCA and that TPM risks are captured, monitored and escalated appropriately and effectively.
- Support other business areas to embed TPM policy and compliance culture where applicable
- Be accountable for the development of plans in relation to audit and preferred suppliers to meet business imperatives and our vision and objectives
- Experience in Financial Services third party management or compliance environment operating a management role
- Worked in an FCA regulated environment
- Experience of influencing Third party providers