Financial Services business, with a UK wide presence, are looking to expand their Compliance function with the addition of a Senior Compliance Monitoring Officer to be based out of their North West office in South Manchester. The position will play a key second line role in delivering an effective Risk Based Compliance Monitoring Programme (CMP) that fits in with the overall strategy of the business and the Risk & Compliance function.
Key responsibilities include:
- Lead from the front in the delivery of the annual risk-based CMP by completing high-quality, regulatory compliance monitoring reviews;
- Delivery of consistent regulatory monitoring and reviews of procedures, systems and practices and, producing written reports that prescribes appropriate, relevant and pragmatic corrective action within agreed Service Level Agreements (SLAs)
- In conjunction with the Compliance Monitoring Manager proactively support the continuing development of the CMP;
- Manage and prioritise own workload which will include multiple monitoring reviews, whilst considering the broader CMP;
- Support and as and when required lead ad-hoc investigative activities, and Regulator thematic interactions;
- Support the Compliance Monitoring Manager and when required regular reporting to management on CMP output and progress;
- Work closely with the Compliance Monitoring Manager to continually improve processes and systems for Compliance reviews, with an emphasis upon business service levels, productivity, efficiency optimisation and the long-term benefits;
- Take responsibility for own personal development including, but not limited to keeping up to date in respect to all relevant sections of the FCA Handbook, consultation papers, and final notices.
- As and when required support the responsibilities of the Compliance Monitoring Manager and the broader Compliance team to fulfil their ongoing obligations.
- Extensive experience within the Financial Services sector, with specific interest in general insurance and ICOBs regulation.
- Significant time spent in a Compliance role
- Demonstrable experience of working with, and challenging, senior managers
- Proven track record of annual planning and delivery of compliance monitoring
- Ability to effectively liaise, influence, communicate, and negotiate with a range of stakeholders
- Advisory experience and strong business analysis skills to effectively assess and respond to a diverse range of situations and requirements
- Demonstrable knowledge of FCA approach, priorities and context
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
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