Compliance Monitoring Manager

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 Manager who 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 Officers whilst 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.

• 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 a's 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

• 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)