Are you a seasoned Compliance professional with experience working in a professional services environment? Do you have an interest in joining a leading financial services firm which offers excellent benefits?
Our client, an award-winning financial services firm, is looking for a Compliance Monitoring Manager to join their team in Bristol.
You will:
- Create and execute a Compliance Monitoring Plan using a suitable methodology to pinpoint key risks aligned with the business’s regulatory landscape
- Carry out Compliance Monitoring Reviews within specified timeframes, encompassing the development of concise terms of reference, crafting risk-driven testing plans, and validating the efficiency of processes and controls
- Foster transparent communication with essential stakeholders throughout the monitoring review process, clarifying issues, presenting recommendations, and securing consensus on management actions
- Produce precise Compliance Monitoring reports, effectively conveying identified issues, detailing impacts on conduct and customers, outlining associated risks, and summarising review conclusions
- Monitor management actions and assess evidence to guarantee that corrective measures appropriately tackle identified issues, ensuring smooth closure
- Provide senior management with comprehensive Management Information (MI) and progress reports regarding the Compliance Monitoring Plan
- Establish the Compliance team as an independent body, adept at recognising and dealing with compliance concerns, and actively supporting adherence to rules, regulations, and company Standards of Conduct
Your skills:
- Displays a positive and adaptable mindset, embracing a proactive ‘can-do’ approach
- Holds expertise in the industry/technical domain and serves as an influential manager
- Flourishes in a fast-paced growth environment, possessing a robust understanding of pertinent FCA requirements and regulatory frameworks
- Proficient in risk assessment, work plan development, and the creation of testing programs for each review
- Skilful communicator, effectively conveying findings in a clear and concise manner, highlighting key points for management
- Functions as a professional facilitator, consistently seeking compliance resolutions for intricate business issues and advocating a compliance mindset
- Committed to continuous improvement, actively enhancing processes to align with the dynamic demands of a rapidly expanding business, thriving in a dynamic and results-driven setting
If this sounds like you, please apply today.