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Compliance Monitoring Manager

StepChange
Job LocationLeeds
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Our people. They make us who we are.As a debt charity we are never judgmental and we understand that addressing financial problems can be a daunting process. Thats why were committed to showing those in debt that there is light at the end of the tunnel and empower them to take control of their finances, whatever their circumstances.Over the last 27 years, our service has experienced rapid growth. To ensure that the Risk and Compliance function continues to support the charity’s regulatory requirements both now and, in the future.We are looking to recruit an experienced Regulatory Compliance Monitoring Manager to lead our Compliance Monitoring Team here in Leeds city centre. Reporting into the Head of Regulatory Compliance you’ll take responsibility for the development, documentation and execution of the charity’s compliance monitoring plan. You’ll ensure the delivery of high-quality compliance monitoring activities across the charity which provide assurance over compliance with regulation and good client outcomes.What you will be doingKey responsibilities for the role will include:

  • Maintain and further develop the risk based approach for the charity’s monitoring framework including determining the appropriate tools and methodologies, the extent of the monitoring programme including thematic and ad-hoc reviews, and the frequency of monitoring activities.
  • Ensure effective resource planning through understand the capacity and capability of the compliance monitoring team to ensure that work is effectively managed. This will include the appropriate setting of goals, objectives and deadlines and the appropriate delegation of tasks to ensure that the team delivers against both the annual compliance monitoring plan and other thematic/ad-hoc reviews.
  • Ensure that all monitoring activity is carried out effectively and in a timely manner with regular reporting on progress against plan and objectives to the Head of Regulatory Compliance and key stakeholders.
  • Provide leadership to the compliance monitoring team through team engagement, and by building the skills, developing the tools and providing the information needed to adapt to a changing environment.
  • Support the compliance monitoring team to promote a positive compliance culture and maintain a strong and independent second line of defence within the charity.
    • Experience and knowledgeThe successful candidate will have extensive and proven experience of working within a senior compliance monitoring management role within an FCA regulated financial services firm as well as strong and practical working technical knowledge of financial services and other associated regulation and legislation including:
  • FCA - CONC / CASS / SYSC / DISP / MCOB / PRIN / T&C / TCF Outcomes
  • Insolvency legislation - IVA Code of Ethics and SIPs / DRO / Bankruptcy
  • Scottish statutory solutions - DPP / MAP / PTD / Sequestration
  • Financial Crime and Anti-Money Laundering
  • Data Protection
    • Want to apply Your application must demonstrate these skills:
  • Strong leadership and interpersonal skills including written, oral and presentation skills
  • Proven leadership skills with the ability to lead a team and develop people
  • Self-starter with the ability to progress a work plan with minimal supervision
  • Strong ability to put forward recommendations with gravitas and inspire confidence in others
  • Confident, credible and articulate communicator with excellent listening skills
  • Excellent attention to detail and high levels of accuracy with the ability to deal well with competing demands, manage time effectively and ensure the completion of tasks within deadlines
  • Strong numerical, analytical and problem solving skills
  • Excellent planning and organisation skills
  • Proven experience of producing reports for distribution to key stakeholders and executive and board committees
  • Proven experience of leading thematic and more complex compliance reviews
  • Strong influencing skills with the ability to articulate difficult messages and gain buy in from senior management
  • Logical thinker with strong problem-solving skills
    • We value our colleaguesWe don’t just care for our clients and those people who contact us for help. We also value our colleagues, and this role comes complete with a generous benefit package which includes:
  • 24 days annual leave (this increases by one day per year up to a maximum of 29), plus bank holidays
  • The ability to buy and sell annual leave
  • Travel season ticket loans
  • Cycle-to-work scheme
  • Group personal pension scheme
  • Westfield Health cash plan
  • Employee assistance programme
  • Financial planning
  • Long service awards

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