Compliance Manager - Monitoring & Surveillance

£75000 - £85000 per annum


Job Duties

  • The Compliance Manager will work as part of the Compliance monitoring team undertaking monitoring functions, management information reporting and some advisory support.


Skills Required

  • Contribute to the creation, implementation and delivery of a comprehensive risk based Compliance Monitoring Programme (CMP). The CMP covers all FCA/PRA regulated firms within and aims to reflect all relevant regulatory requirements impacting these businesses.
  • Identify regulatory issues and risks while carrying out effective surveillance and monitoring reviews within the deadlines set. Ensure mitigating actions assigned within the reviews are completed within the agreed timescales.
  • Maintain detailed knowledge of relevant rules and legislation to aid in the interaction with business areas as part of the CMP and within Compliance projects.
  • Produce clear and to-the-point management information for various groups, committees and team meetings.
  • Take responsibility for allocated compliance projects, and represent the Compliance team in business meetings.
  • Assist in the delivery of an efficient regulatory risk framework feeding into a risk-based CMP. Ensure that identified risks are recorded, analysed and taken into account in the delivery of surveillance, monitoring reviews and projects.
  • Engage with other Compliance and Risk team members and engage in cross training, exchange of information and collaboration.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

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