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Compliance and Risk Monitoring Manager

London, Greater London, United Kingdom, £ £ 60000.00-70000.00 Annual Annual, Permanent

Description:

Compliance and Risk Monitoring Manager to support a growing firm (under 50 staff currently) working for the Chief Compliance Officer and Chief Risk Officer in managing and delivering a risk and compliance monitoring programme.

  • Deliver risk-based monitoring activity covering operational and compliance risk
  • Demonstrable experience in delivering compliance monitoring activity
  • Good knowledge of broad banking compliance, particularly related to unregulated secured lending and deposit-taking, financial crime, and outsourcing
  • Good knowledge of operational risk assurance activity in a technologically driven bank

Key Responsibilities:


Compliance and Risk Monitoring Programme

  • Develop and maintain the Compliance and Risk monitoring programme across the Bank and any third parties
  • Ensure the programme is suitably risk-based and planned effectively
  • Proactive engagement with first line and internal audit without detracting from robust risk management framework and three lines of defence
  • Ensure the programme delivers constructive feedback and challenge through robust stakeholder engagement and relationships

Monitoring Standards

  • Develop and maintain compliance and risk monitoring policies and procedures, including those related to planning and prioritisation
  • Create and maintain the organisation-wide monitoring plan and activity tracker

Monitoring Activity

  • Undertake monitoring activity as per plan, including timely production of reporting and tracking actions
  • Effective identification of issues and analysis of risks, to enable prioritisation of actions and escalation
  • Ensure positive stakeholder engagement, including strong communication, both written and verbal

Reporting

  • Ensure appropriate escalation of issues identified through monitoring activity
  • Produce regular reporting relating to monitoring activity; including specific activities and overview of programme
  • Support the Chief Compliance Officer in collating meaningful and accurate reporting

Technical Expertise

  • Develop forward-looking scope of work based on regulatory, the business and industry developments
  • Ensure knowledge of banking regulation and risk management is forward-looking
  • Develop innovative methods of monitoring utilising data and technology where possible

Experience:

  • Demonstrable experience in delivering compliance monitoring activity
  • Good knowledge of broad banking compliance, particularly related to unregulated secured lending and deposit-taking, financial crime, and outsourcing
  • Good knowledge of operational risk assurance activity in a technologically driven bank
  • Sound knowledge of best practice compliance and risk monitoring frameworks
  • Sound knowledge of governance in a regulated environment
  • Strong report- and policy/procedure-writing experience

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

Job Details

1206530339
Not Specified
London, Greater London, United Kingdom
Permanent
£ £ 60000.00-70000.00 Annual Annual