Compliance Monitoring & Assurance Manager - 2LOD
About the Role:
This is a brilliant opportunity to get deep the non-financial risk management framework of this Tier 1 Financial Services business.
As a Compliance Monitoring Manager, you’ll assist the Head of Compliance Monitoring and Assurance and the Senior Management team in delivering the Compliance Monitoring strategy across the UK.
Key Responsibilities:
* Lead and report on risk-based reviews that identify risk and control themes, potential customer harms, and associated root causes.
* Drive the corrective actions required to enhance their proactive risk management framework and culture.
* Develop and utilise automated assurance and data-led testing.
* Design and lead reviews that identify risk themes, potential customer harm, and root causes, while also highlighting good customer outcomes and best practices.
* Manage review teams, ensuring full accountability for scoping, testing, and reporting.
* Shape review coverage, focusing on the highest regulatory and conduct risks.
* Maintain high standards by ensuring every stage of the monitoring cycle is executed seamlessly.
* Contribute to the implementation and delivery of the consolidated Compliance Risk Assessment aligned with regulatory expectations and business activity.
Ideal skills you’ll bring:
* Excellent risk perception and identification skills, with expertise in escalation management and report writing.
* In-depth knowledge of the FCA (Financial Conduct Authority) Handbook, Consumer Duty, and Retail Banking regulations.
* Well-developed ability to produce management information using digital tools.
* Detailed knowledge of Risk and Compliance functions and the internal and external risk environment.
If you have these skills, even better!:
* Demonstrable experience using automated assurance solutions and methodologies, including data-led testing and analysis, in a Financial Services environment.
* Experience in line managing and leading small review teams in compliance assurance or testing roles.
If you have experience in a similar role combined with an inquisitive mindset, this could be the perfect opportunity to develop your career at the heart of the action.
*** This is a hybrid role with 3 days per week (on average) in the Milton Keynes or Glasgow City Centre office ***