AddressCompliance Monitoring Assistant Manager
This is a hybrid position primarily based in Bristol . We’re committed to your flexibility and wellbeing and our hybrid strategy currently requires two days a week in the office, giving you the option to work remotely for some of your working week. Find out more about our culture of flexible working .
We give you a world of potential
An exciting opportunity has arisen for someone to join the CIS Compliance Monitoring team, based in Bristol. This role sits in the second line of defence within Computershare’s three lines of defence operating model.
Responsibilities include monitoring and reporting in relation to Computershare Investor Services (CIS) Operational areas to assess compliance with regulatory requirements and internal policies / procedures.
The role requires scoping, planning and delivery of Compliance Monitoring reviews as part of the overall Compliance Monitoring programme to provide assurance to Senior Management and drive improvements in respect of regulatory standards throughout CIS. The key areas of regulation applicable to CIS are the FCA Principles for Business and associated rules and guidance – e.g. COBS, CASS, SYSC, SUP, MAR and DISP; Data Protection (GDPR); Anti-Money Laundering (AML) and other Financial Crime related matters as well as UK industry best practice guidelines.
A role you will love
- Scope and plan monitoring reviews of CIS business areas in line with the risk-based Compliance Monitoring Programme.
- Complete testing activity through investigation, review, and analysis across CIS’s operational activities to assess compliance with prevailing regulatory requirements, internal policies, and best practice.
- Identify and assess risks arising in the business, referring to prevailing regulatory requirements and best practice.
- Liaise with all levels of staff across the business during testing activity.
- Produce objective, timely and well-presented monitoring reports and gain approval for distribution to senior management and CIS Directors.
- Gain commitment from the business to address any issues identified.
- Assess the completeness and accuracy of actions taken to address monitoring findings Liaison with colleagues across Control & Governance, Risk, Compliance and Audit functions where required.
What will you bring to the role?
As an internal candidate you’ll have a sound understanding of the FCA Handbook - in particular COBS, CASS, SYSC, SUP, DISP, MAR, GDPR and AML requirements, obtained from working in an FCA authorised and regulated environment, ideally from within an assurance-type role.
You’ll be a self-starter who can work with minimal direction and supervision, with a proactive & resilient approach, able to deliver under pressure. Proven organisational and time management capabilities, along with strong analytical skills with high levels of attention to detail.
Effective interpersonal, presentation & literacy skills will allow you to successfully communicate across all levels of the business, whilst holding compelling influencing and negotiation skills.
Financial Services Compliance qualifications e.g. CISI Investment Operations Certificate, ICA Certificate/Advanced Certificate in Compliance are advantageous although not essential.
If this role sounds of interest and you would like further information, please contact the hiring manager Ben Cheetham.
Rewards designed for you
Employee Share Plan. Set aside salary to purchase shares in our company and you’ll receive a company contribution as well.
Health and Wellbeing. Our health and wellbeing rewards can be tailored to support you and your family.
Save for Your Future. We will support you along your retirement savings journey.
Paid time away from work. Our employees enjoy a competitive paid time off package, including a day each year to volunteer time for a good cause that is important to you.
Employee Discounts. We’ve partnered with other organisations to offer you extra savings. Enjoy discounts with banks, car manufacturers, on flights, accommodation and days out as well as with many big brand shops.
Extra Rewards. From tuition reimbursement to cash bonus recruitment referral programs, our comprehensive benefits package offers a multitude of options
