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Compliance Risk Management & Monitoring Manager

London, United Kingdom, £ £ 80000.00-90000.00 Annual Annual, Permanent


Compliance Risk Management & Monitoring Manager

London (Remote Working)

The Compliance Risk Management & Monitoring Manager will lead the team in enhancing compliance (including financial crime) risk assessment and the monitoring controls & testing framework in a way that:

  • upholds the firm's legal, regulatory and ethical standards and delivers fair customer outcomes;
  • fosters partnerships and collaboration throughout the firm (including the 1st LoD Process & Control team);
  • heightens awareness of relevant regulatory issues;
  • delivers consistent monitoring, challenge and innovative solutions.

The Compliance Risk Management & Monitoring Manager has the following responsibilities:

  • manage the 2 person monitoring controls & testing team with the aim of optimising development opportunities and achieving departmental goals;
  • continuously improve and review the compliance monitoring plan in consideration of the business risk profile, regulatory developments and regulator expectations;
  • deliver on the compliance monitoring plan, allocating responsibility for monitoring controls and testing activities within the team and ensuring execution in a timely manner;
  • ensure that material findings are documented, escalated on a timely basis, tracked through to resolution and reported on to Senior Management;
  • Identify and notify conduct, regulatory or conflict of interest issues that require escalation to the CCH or other members of Senior Management;
  • working with Compliance colleagues, identify and share best practices, encourage collaboration and further improve consistency of approach across teams and offices;

Job Details

Not Specified
London, United Kingdom
£ £ 80000.00-90000.00 Annual Annual