Compliance Monitoring Manager

A Compliance Monitoring Manager is required by a successful Wealth Management organisation in Birmingham City Centre.

Reporting into the Chief Risk Officer (CRO) your main responsibilities will include:

• Developing appropriate Compliance Monitoring methodologies, procedures and templates.
• Preparing the annual risk based Compliance Monitoring plan.
• Undertaking monitoring reviews in accordance with the plan, ensuring timely delivery, and preparing clear and concise reports highlighting key findings.
• Establishing collaborative working relationships with line management across the business to ensure the effective conduct of reviews and to discuss findings, agree actions to mitigate or avoid risks outside the Group’s risk appetite.
• Undertaking desk-based monitoring including analysis and assessment of control data across the compliance risk universe, and report on findings, agree mitigating actions, etc.
• Where appropriate, and as agreed in conjunction with the CRO, provide assistance to the business with ensuring that proposed controls are sufficient to meet risk appetite and legal and regulatory requirements.
• Undertaking special reviews and investigations, as directed by the CRO.
• Preparing regular reporting for the CRO on progress against the monitoring plan, key findings from reviews and the status of management actions to address findings.

You will have a proven track record of working in a compliance monitoring capacity within the wealth management arena. You will have a good working knowledge of FCA regulations. Excellent communication skills, both written and verbal, are essential as you must have the ability to write high quality reports as well as communicate your findings in a clear and concise manner.

Location:BirminghamWest Midlands

Salary:£50k - £60k + benefits


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