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Senior Compliance Monitoring Manager

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

A Wealth Management business is looking to recruit a Senior Compliance Monitoring Manager to join their business. The role will have 3 direct reports.Main Responsibilities

  • Responsible for undertaking the compliance risk assessment process, ensuring delivery of the monitoring plan, ensuring actions are followed up by the business
  • Responsible for developing and embedding the associated framework document and departmental procedures and ongoing ownership of procedures
  • Responsible for reporting and MI in relation to monitoring and delivery of the CMP
  • Working with the advisory / regulatory team to ensure monitoring work is taking into consideration the latest regulatory developments
  • Responsibility for ensuring the team is logging all outstanding findings/recommendations and escalate matters not dealt with in a timely manner.
Job Requirements:
  • At least 5 years Compliance Monitoring experience, ideally within an Investment or Wealth Management firm.
  • Strong knowledge of the FCA handbook, in particular CASS and COBS.
  • Excellent IT skills.
  • Strong communication skills, comfortable working with all levels of staff across the business.
  • Professional qualifications, preferable.
Unless otherwise stated, candidates must have the right to work in the UK.The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannotreply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

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