Interim Compliance Monitoring Manager
7 days left
- Recruiter
- Finance Network
- Location
- Bristol, United Kingdom
- Salary
- Inside IR35
- Posted
- 07 Mar 2023
- Closes
- 06 Apr 2023
- Ref
- 18971785
- Job Function
- Other
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
Accountabilities:
• Planning, scoping and conducting regular monitoring independently to a high quality
• Conducting root cause analysis of issues identified, addressing these with management to agree next steps and then track appropriate management actions to closure per the agreed target date
• Providing critical feedback and challenge to managers at all levels.
• Contributing towards the continuous improvement of the Compliance Monitoring function, its processes, controls and methodologies
• Building and maintaining strong relationships with senior managers across the business
• Supporting the ongoing maturity of the firm's approach to governance, risk management, and compliance through effective control assurance.
• Where required, working with third party co-source providers to leverage external expertise and industry insight
Experience:
• Experienced in compliance, risk or audit roles in a UK Asset, Platform &/or Wealth Management market
• Experience of compliance oversight/assurance activity, risk assurance or internal audit
• Relevant governance, risk management and control expertise
• Relevant knowledge of the regulatory environment
• Stakeholder management and engagement
• Understanding and experience of the three lines of defence model
• The ability to communicate issues and challenge effectively
• Comprehensive knowledge and understanding of Asset Management/Wealth Management products and markets; of UK and European financial services regulation and policy environment and regulatory processes
• Excellent communication skills to explain / interact / engage / influence with and between stakeholders (internal)
• Planning, scoping and conducting regular monitoring independently to a high quality
• Conducting root cause analysis of issues identified, addressing these with management to agree next steps and then track appropriate management actions to closure per the agreed target date
• Providing critical feedback and challenge to managers at all levels.
• Contributing towards the continuous improvement of the Compliance Monitoring function, its processes, controls and methodologies
• Building and maintaining strong relationships with senior managers across the business
• Supporting the ongoing maturity of the firm's approach to governance, risk management, and compliance through effective control assurance.
• Where required, working with third party co-source providers to leverage external expertise and industry insight
Experience:
• Experienced in compliance, risk or audit roles in a UK Asset, Platform &/or Wealth Management market
• Experience of compliance oversight/assurance activity, risk assurance or internal audit
• Relevant governance, risk management and control expertise
• Relevant knowledge of the regulatory environment
• Stakeholder management and engagement
• Understanding and experience of the three lines of defence model
• The ability to communicate issues and challenge effectively
• Comprehensive knowledge and understanding of Asset Management/Wealth Management products and markets; of UK and European financial services regulation and policy environment and regulatory processes
• Excellent communication skills to explain / interact / engage / influence with and between stakeholders (internal)