Compliance Monitoring Manager

Posted 13 July by Professional Recruitment Ltd Easy Apply

A highly successful financial services firm is looking for a credible and self-sufficient Compliance Manager to join their busy monitoring team.

As a Compliance Monitoring Manager, you will work within the second line of defence monitoring and reporting on all operational areas to assess compliance with regulatory requirements and internal policies / procedures. The role requires scoping, planning and delivery of Compliance Monitoring reviews as part of the overall Compliance Monitoring programme to provide assurance to Senior Management and drive improvements in respect of regulatory standards.

The key areas of regulation applicable to CIS are the FCA Principles for Business and associated rules and guidance - e.g. COBS, CASS, SYSC, SUP, APER, TC and DISP, DPA and AML.

Main responsibilities:

  • Complete testing activity through investigation, review and analysis across CIS’s operational activities to assess compliance with prevailing regulatory requirements, internal policies and best practice.
  • Identify and assess risks arising in the business making reference to prevailing regulatory requirements and best practice.
  • Produce objective, timely and well-presented monitoring reports and gain approval for distribution to senior management.
  • Liaison with colleagues across Control & Governance, Risk, Compliance and Audit functions where required.

The ideal candidate will have a minimum of 3 years’ experience within a compliance role, ideally compliance monitoring, for an FCA authorised and regulated firm. You will have a sound understanding of the FCA Handbook and possess some Audit or Accountancy experience.

Strong interpersonal, presentation and communication skills are pivotal to this role as is excellent analytical skills with high levels of attention to detail. You will be a proactive, self-starter who can work with minimal direction and supervision.

A financial services compliance qualification such as the CISI Investment Operations Certificate, ICA Certificate/Advanced Certificate in Compliance would be highly advantageous but not essential.

Reference: 35626008

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