Compliance Monitoring Manager

Salary up to £60,000 + Bonus + Benefits

As a Compliance Monitoring Manager, you will be responsible for the design and delivery of assurance test programmes to evaluate the exposure to regulatory Compliance and Conduct risk and assessing customer outcomes.

The role forms part of the Compliance Monitoring team, providing independent second line of defence assurance across the regulated entities, under the leadership of the Group Head of Compliance, as delegated by the Chief Compliance Officer.

As a Compliance Monitoring Manager, we are looking for someone to:

• Lead the development of the annual Compliance Monitoring Plan, effectively analysing and evaluating the risks to the business to identify the areas where assurance is required.
• Manage and overseeing the completion of monitoring activities in line with the compliance monitoring time.
• Be responsible for the design and delivery of second line monitoring reviews, focussing on regulatory and conduct risk topics in line with methodology.
• Ensure regulatory and conduct monitoring independently assesses how the firm consistently delivers good customer outcomes.
• Produce MI on assurance activity and progress against the Compliance Monitoring Plan for Committee and Board reporting.

Qualifications

Essential

• Significant experience acting in the capacity as a Compliance Monitoring Manager and a track record of delivering outcomes, focussed thematic and adhoc monitoring reviews to a high standard.
• Extensive knowledge and experience of the Financial Conduct Authority and their associated supervisory approach.
• Previous experience of working within a Mortgage regulated entity
• Significant understanding of regulatory and conduct risk with the ability to assess and size risks and issues appropriately and in line with the Enterprise Management Framework.
• A natural appetite and inquisitive mind for horizon-scanning that can think laterally about any potential consequences for the company.

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