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Connecting Talent in the Sustainability and Renewables Sectors
We are pleased to be working with a prestigious Wealth Manager in the North of England. They are seeking an experienced Compliance Monitoring Manager to join their team.
About You: Preferred skills/attributes include:
* Experience in a compliance or assurance role within financial services.
* Proven ability to design and implement monitoring plans.
* Extensive understanding of the FCA handbook and the regulatory environment for financial services.
* Strong proficiency in communication and stakeholder engagement.
* Educational qualifications or certifications from recognised industry bodies such as CISI, ICA, or FSA.
Key Responsibilities:
* Lead and oversee the Compliance Monitoring team to ensure effective supervision of all compliance-related activities.
* Develop the annual compliance monitoring strategy and supervise the execution of monitoring tasks, including scoping, fieldwork, documentation, and reporting.
* Prepare and present comprehensive reports on compliance operations and findings to the Board and relevant Committees.
* Assist with the collection of internal data for regulatory submissions and requests.
* Conduct thorough due diligence on third-party partners.
* Support the development of robust and effective compliance controls within the organisation.
* Work closely with other departments to foster a culture of compliance.
* Provide assistance to the Head of Compliance and Deputy Head of Compliance with project-related tasks as needed.
If you have the relevant skillset for this vacancy and are looking for a change, then apply today!
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal, Finance, and Accounting/Auditing
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