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Compliance Monitoring Manager

Job LocationLiverpool
EducationNot Mentioned
SalarySalary negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

The opportunity:Due to recent successful client wins we are investing in our Compliance offering which will include expansion of the Monitoring and Oversight / Guidance functions. As part of this expansion we have a brand new position for a Compliance Monitoring Managerwho will lead a team based across multiple locations.In this role, you will be responsible for monitoring/oversight role for some of our largest accounts to ensure they are fully compliant with FCA rules, requirements, and principles. You will also be managing approximately 7-8 Compliance Monitoring Officerswhilst motivating and developing the team.This is a fantastic opportunity for those looking step into a management role, shape a new team, and play a critical role in driving regulatory adherence in a complex environment.Youll Be;

  • Informing and supporting the Audit & Compliance Committee, the Executive Management Team and clients on our application of regulatory compliant processes* Developing and managing the delivery of the Compliance Annual Monitoring Plan* Managing the Compliance Monitoring Team to operate in accordance with Diligent as Compliance Monitoring Methodology* Providing effective leadership, continuous professional development (own and team), effective performance management and staff development* Supporting the business in ensuring Retail Conduct Risk (including "Treating Customers Fairly" principles) is fully considered, interpreted and implemented* Representing the Compliance function at relevant internal and external Governance forums and committees
You Should Apply If You:
  • Have an exceptional understanding of FCA, DPA and AML rules and regulations* Have strong operational financial services/business knowledge developed over a number of years working within Financial Services* Are able to build and maintain strong relationships with business partners and clients* Are able to accept a high level of autonomy and take responsibility for decision making on regulatory matters* Have excellent organisational and people management skills* Have previous experience in Compliance Monitoring (desirable)* Have previous experience in an outsourcing / consultancy (desirable)

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