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Compliance Monitoring Manager

Information About This Job

Job Title: Compliance Monitoring Manager
Contract Type: Permanent
Location: Bristol
Industry:
Salary: £40,000 - £50,000
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: about 2 months ago

Job Description

Compliance Monitoring Manager sought for a top wealth and investment management firm in Bristol.

About The Company

The company is a leading provider of wealth and investment management services to private clients, professional advisers, charities, corporates and institutions. Combined, the firm manages almost £9 billion of client assets from 13 offices across the UK, employing c.500 professionals. 

The firm is part of the global AA-rated financial services group that was established in 1918. The Group provides a range of financial products and services to over 10 million clients globally and is listed on the Johannesburg Stock Exchange. They have attained size, strength and reputation by providing a high quality, personalised service to clients, whatever their stage of life or financial ambitions. 

Based in the firm's offices in Bristol; they are currently looking for a Compliance Monitoring Manager.

 

About The Role

Your role will be to support the Head of Compliance Monitoring in delivering a consistent, risk based compliance monitoring service to the firm's UK businesses.

You will be expected to ensure compliance monitoring activities are undertaken in a timely manner and to a high quality in accordance with the mandate agreed with the businesses.

Success in this role will be measured through your ability to lead compliance monitoring activities and reviews; to ensure management actions identified in compliance monitoring reviews are tracked; and to ensure adequate and appropriate MI on compliance monitoring activities is produced.  

You will also be required to supervise the Compliance Monitoring Assistants when they are assisting on monitoring activities or reviews.

 

Skills & Experience

Successful candidates are likely to demonstrate the following:

  • Extensive financial services industry experience with considerable experience of developing compliance monitoring plans and undertaking monitoring activities and reviews.

  • Proven record of working in accordance with all regulatory, compliance and conduct risk policies.

  • Professional Compliance/Regulatory Qualification e.g. Diploma in Compliance preferable.

  • Mentoring/coaching staff.

  • Thoroughly conversant with the FCA Rules and associated guidance, the approach of the Financial Ombudsman Service and EU Directives/Regulations affecting the financial services industry.

  • Strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.

  • Solvency II knowledge desirable.

  • Ethical, principled, analytical and diligent.

  • Ability to influence senior management.

  • Well organised, self-motivated and proactive.

  • Good communication skills, both written and verbal.

  • Teamworking skills.

 

Ref: | Published: 30th Aug 2017