Compliance Monitoring Manager

Posted 21 December 2017 by Kind Consultancy Ltd

Kind Consultancy is working with a well established, nationally successful retail financial services organisation who are seeking a Compliance Monitoring Manager to join one of their offices in the Bradford area.

Key responsibilities of the Compliance Monitoring Manager role will include:

  • Contributing to delivery of the Annual Compliance Monitoring Plan by producing quality reviews
  • Performing complex Monitoring reviews
  • Providing advice and guidance to the business on necessary actions to achieve regulatory compliance, addressing any issues arising from monitoring reports
  • Reporting to management on levels of Compliance Assurance and/or any issues arising from specific monitoring activity
  • Sharing Compliance expertise with the team, providing support, guidance and training when needed
  • Continually improve Compliance Review systems and processes, with a focus on business service levels, productivity, efficiency and customer service

Our ideal candidate for the Compliance Monitoring Manager opportunity:

  • Has good knowledge of current FCA regulations, including MCOB, BCOBS, COBS and ICOBS
  • Has experience in a Compliance or Audit role, ideally involving performing Monitoring reviews
  • Holds a Diploma in Financial Planning and preferably also CeMAP or MAQ
  • Has a track record of identifying poor customer outcomes and making appropriate recommendations to drive change
  • Is able to manage and prioritise their own workload

If you're interested in the Compliance Monitoring Manager role and you have the necessary skills and experience, please apply with an up to date Cv today.

Required skills

  • Assurance
  • Audit
  • Compliance
  • Guidance
  • MCOB

Application question

Do you have Diploma Level 4?

Reference: 33690522

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