A highly successful Investment business in central Bristol is looking for a credible and self-sufficient Compliance Monitoring Manager to join their monitoring team on a part time basis.
As a Compliance Monitoring Manager, you will work within the monitoring function reporting on all operational areas to assess compliance with regulatory requirements and internal procedures. The role requires scoping, planning and delivery of Compliance Monitoring reviews as part of the overall Compliance Monitoring programme.
Main responsibilities:· Identify and assess risks arising in the business making reference to prevailing regulatory requirements and best practice.· Fulfil the necessary checks to complete an agreed annual compliance monitoring plan and to report accordingly in writing.· Reported any compliance breaches to the compliance director.
The ideal candidate will have a minimum of 2 years’ experience within a compliance role, ideally compliance monitoring. You will have a sound understanding of the FCA Handbook and be a self-starter with good interpersonal and administration skills.
A relevant compliance qualification would be highly advantageous but not essential.
This is an exciting opportunity for the successful individual to really make a difference and grow this function within the business.