Compliance Monitoring Manager

As a Compliance Monitoring Manager you will be responsible for the design and delivery of assurance test programmes to evaluate the exposure to regulatory Compliance and Conduct risk. This role provides independent second line of defence (2LOD) assurance under the leadership of the Head of Monitoring, as delegated to by the Chief Compliance Officer (CCO). As a Compliance Monitoring Manager we are looking for someone to:

• Be responsible for the design and delivery of assigned Regulatory and Conduct Monitoring assurance reviews, in particular those that are considered to be complex within strict timelines and in line with the Compliance Monitoring methodology
• Ensure Regulatory and Conduct Monitoring and independently assesses how the firm consistently delivers fair customer outcomes and meets regulatory requirements, to encourage safe growth and protection of the firm from regulatory and/or conduct risks associated with business activity
• Produce high quality reports that clearly articulate the conclusions of the assurance activity including an accurate measurement of the level of any regulatory and conduct risk
• Provide appropriate recommendations to the business based on the observations and findings of the monitoring activity
• Assist the Group Head of Compliance in the delivery of their delegated responsibilities from the SMF16. Be able to act as a deputy and ensure continuity during Head of Compliance absence for example strategic planning, governance reporting, annual planning and Compliance Risk Universe assessments
• Provide significant input to the design of the Compliance Monitoring Annual Plan, effectively analysing and evaluating the risks to the business to identify the areas where assurance is required
• Role model strong behaviours and customer-centric qualities that set a standard of high performance
• Contribute to a strong team ethic that also optimises the team's abilities and maximises the team's capabilities
• Be responsible for maintaining accurate records in relation to open findings and actions and the management of the tracking process
• Ensure that reporting to the business is accurate and timely
• Complete effective assessments of evidence submitted by business areas to close findings and individual actions and make appropriate recommendations in this regard