Compliance Monitoring Manager

£80000 - £90000 per annum

Compliance Monitoring Officer


The Role
Compliance Assurance and Monitoring provides the firm with a key independent second line control check and challenge over the implementation and application of the regulations and controls that apply to a firm. This role is responsible for working with the Head of Monitoring and Surveillance to develop and deliver an appropriate risk - based monitoring program consisting of appropriate thematic reviews designed to test the efficacy of front-line controls in respect of regulations applicable to the business. This is to ensure that controls in place and are sufficient to ensure that the firm meets its regulatory obligations.

Responsibilities

  • Carry out risk-based thematic desk reviews across the firm’s business units.
  • Focus on the key compliance risks and take a proportionate approach to scoping tests and completing testing efficiently to make the best use of available resources.
  • Coordinate the investigation and escalation of potential issues and documenting appropriate remedial Actions. Manage closure verification of Actions following completion, including the assessment of evidence to support closure.
  • Oversee and support reviews completed by other team members.
  • Prepare aspects of Compliance Assurance management information
  • Help enhance the Compliance Assurance programme as it evolves, liaising with the Compliance team and relevant global teams and contributing to global discussions on testing matters and sharing best practice.
  • Carry out ad-hoc spot check reviews as and when required.


Skills & Qualifications

  • Experience in developing, documenting and executing monitoring and assurance programs.
  • Excellent presentation skills - ability to communicate clearly and concisely both verbally and in writing.
  • Previous experience of derivative, commodity and FX brokerage businesses, whether though Compliance experience or working within the business or other controls functions.
  • Ability to identify the key compliance risks in the area subject to testing and to think creatively about how these risks might manifest in practice and how a test could seek to identify this.
  • Good analytical and numerical skills, able to learn new concepts (for example reviewing trading data, looking for trends and exceptions).
  • Good interpersonal skills and the ability to build relationships with members of the Compliance Department and employees in the business units and control functions subject to testing
  • Proven skills in challenging information received and ability to manage findings with the frontline businesses.
  • Broad understanding of the FCA Handbooks and the approach of regulators in EMEA, US and globally, with particular focus on UK regulators.
  • Attention to detail and proactive. Confidence to use own initiative and apply judgment in an in-house context.
  • Ability to manage delivery of a portfolio of tests and work programmes with emphasis on a strong sense of audit trails to evidence the reviews completed from start to finish with all supporting substantiating evidence captured.
  • Ability to be effective under pressure.
  • Enthusiasm and aspiration to learn and develop.
  • Previous experience with dealing with regulators and/or Auditors desirable
  • Previous Front Office experience (trader, sales) is desirable

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

 

To stay safe in your job search we recommend that you visit SAFERjobs, a non-profit, joint industry and law enforcement organisation working to combat job scams. Visit the SAFERjobs website for information on common scams and to get free, expert advice for a safer job search.

MORE JOBS LIKE THIS
MORE JOBS LIKE THIS
  • Buyer (Procurement)
    £30000 - £40000 per annum

    My leading financial services organisation are looking to recruit a buyer to oversee HR & Professional Services purchasing.

    Candidates should have:

    • Good knowledge of category management & be able to drive supplier management processes.
    • Previous experience in HR or Professional Services
    • Ability to engage with a broad stakeholder group (internally & externally)
    • Be able to lead successful negotiations by establishing competitive bidding environments, elevating new and incumbent supplier relationships.
    • Be comfortable managing post buy procedures including but limited to - resolution of performance issues, invoicing discrepancies and validation of delivery milestones.
    • Good knowledge of the Microsoft office suite of tools + Advanced excel skills.
    • Exposure to Outlook SAP or Concur is beneficial
    • Procurement experience across any sector is a must have.
    • CIPs qualified or studying for qualification

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

  • Market Analyst
    £50000 - £60000 per annum

    Type – Perm

    Role – Market Analyst

    Salary- £50,000 - £60,000

    Location – London

    Evaluating the market – data centric – Product Development – Market Data

    Our global financial services intermediary are looking for a market analyst that has had previous experience with documentation. The role will entail positioning products in the market and writing “new launch” business docs.

    Required Skills for the role:

    • Devise a product development strategy and help go to market with the assistance of the head of product development
    • Identify/analyse and prioritise new market/partnership development opportunities through extensive research, local market sales and service activities
    • Provide Insight on the customer user experience and engage the findings with the product development and sales teams

    Key Activities:

    • Delivering presentations and engaging with various stakeholders in the business
    • Working with both qualitative and quantitative data and being able to extract sometimes difficult information and verbalising it in a simple and concise manner

    If this role is of interest please do email me your CV to zbinge@mcgregor-boyall.com or alternatively call me up on 02074229257

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

  • Lead Developer - Java/.Net/Azure Developer - Financial Services
    £65000 - £75000 per annum + Bonus, Pension, Benefits

    Global Financial Services firm seeks a Lead Java/.Net/Azure Developer with a specific focus on Data distribution services in the public cloud deployment set up. You will be working with leading edge technology and liaising with technical and business partners to understand their needs and provide innovative solutions.

    Looking for a hands-on, experienced developer who will be responsible for developing, supporting cloud-native data distribution applications ideally with experience of both Java and Microsoft C#.NET.

    You need to able to quickly grasp and contribute to existing codebases and express design concepts. Your key responsibilities will be the development and support of the Enterprise Data Platform.

    Key skills required:

    • Excellent level of core Java development
    • Extensive experience using .Net or C#
    • Ideally you will have experience deploying to Azure but would consider AWS or Google backgrounds
    • Hands on experience with relational and non-relational / no-sql database technologies.
    • Highly experienced using Cloud-native app development experience (AWS, Azure, Google Cloud Platform).
    • Experience with BigData technical stacks
    • Open on industry background but experience of working in large global firms is a big plus




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