The role:
An opportunity to join a growing and successful asset finance business in the newly created role of Senior Compliance Monitoring Manager (Business Support). Reporting to Head of Compliance the role of Senior Compliance Monitoring Manager (Business Support) will ensure the firm meets its regulatory, legal and internal governance obligations. You will lead the development and delivery of the firms monitoring and quality assurance framework & provide regulatory advice. Hybrid working – 3/4 days work from home. Further responsibilities include…
*Design, implement and maintain multiple monitoring and quality assurance frameworks
*Conduct and oversee thematic reviews, file checks and QA testing
*Produce clear monitoring reports with findings, risk assessments & made recommendations
*Provide expert compliance advice to business stakeholders on FCA regulation, complaints handling and fraud prevention
*Support with regulatory horizon scanning and impact assessments for new regulations
*Support Head of Compliance with the production of board and committee MI
*Line management of small but growing team of 3
The Company:
*An award winning & successful financial services business who provide innovative and competitive products to UK businesses. 3/4 days work from home.
The Person:
*Strong Financial Services compliance monitoring & advisory experience including QA
*Detailed knowledge of FCA regulation (CONC, SYSC, DISP)
*Ideally exposure to complaints handling, financial crime/fraud risk and data protection
*Strong leadership skills with the ability to mentor and build credibility
*Market awareness of the current and potential key risks to FS sector
*Results orientated with the ability to consistently prioritise and problem solve
*Excellent communication skills – written and verbal