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Compliance Monitoring Manager

Date posted: 18 Nov, 2014
Ref: Ref:cm010714
Industry: Compliance
Salary: £45000 - £55000 + Benefits
Location: Leicester
Contract Type: Permanent
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Further Information

My client is a well established and growing Financial Services provider based in the East Midlands. Due to the continued success of the business and subsequent growth of the Compliance function, they are currently recruiting for a Compliance Manager.

Reporting to the Head of Risk and Compliance you will ensure the fair treatment of customers and compliance with Financial Conduct Authority matters and other applicable regulatory requirements. Design, implementation and maintenance of risk based compliance monitoring plans. Your main responsibilities will include-

  • Establish, and assist with implementing, policies, procedures and processes necessary to maintain a robust culture of compliance

  • Design and delivery of risk based compliance monitoring plan for all regulated business activities
  • Monitor regulatory developments and provide analysis of potential customer impacts (TCF) and business impacts. Monitor the performance of the compliance program and take appropriate steps to improve its ongoing effectiveness.
  • Identify potentials areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.
  • Collaborate with other departments such as legal, credit, portfolio management and customer service to investigate and resolve compliance issues.

You will be a Compliance professional with previous experience, a minimum of 3 years, working within ComplianceYou will have experience of working within Financial Services and have an understanding of the FCA regulations. Educated to degree level or equivalent professional qualification.


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