Senior Compliance Monitoring Manager
other jobs Broster Buchanan Ltd
Added before 4 Days
- England,London,City of London
- full-time
- £95,000 per annum
Job Description:
*Excellent salary and company benefits.
*A role with great exposure and continued development.
*A supportive and growing organisation.
What you will be doing:
*Lead continuous improvement activity on the Monitoring Methodology ensuring that tools, techniques and processes are robust and fit for purpose.
*Lead second line of defence assurance reviews in accordance with the annual Compliance Monitoring Plan.
*Delivery of high quality Monitoring reports, suggesting remedial action where required and tracking issues to closure.
*Undertake root cause analysis of identified issues and provide feedback and/or escalation as appropriate.
*Track all raised findings and recommendations made to the business, ensuring actions are closed in a timely manner and that those actions are adequate to address the finding.
*Production of monthly QA Mi for the Head of Conduct & Compliance Monitoring to review on an ongoing basis.
*Track delivery of the annual Compliance Monitoring Plan, reporting on completion rates to support the Head Of Conduct & Compliance Monitoring in delivery the CMP on time.
*Undertake quality assurance of the Monitoring Team adherence to Methodology providing feedback and coaching as necessary.
*Maintain detailed knowledge of all relevant regulatory requirements.
*Keeping up to date with industry developments in consumer credit.
*Undertake any other reasonable tasks as requested by management.
Who you are and what you’ll need:
Our ideal candidate will be a consummate professional with the following knowledge, capability and experience:
*Experience of developing and working with Compliance Methodology is advantageous.
*Ability to constructively feedback development points to other business functions to drive a positive compliance culture whilst adhering to regulatory and company guidelines.
*Experience of carrying out internal monitoring, producing comprehensive reports and advising on remedial action where necessary, tracking issues to closure.
*Experience in a Consumer Credit Compliance environment, with proven experience in a similar Compliance role.
*Ability to influence stakeholders to take ownership of issues and follow-up to ensure these issues are remediated.
*Excellent work ethic with a real passion to drive improvement.
*Strong communication skills both oral and written and be able to deliver confidently to all levels of the business.
*Calm manner and sensible approach are required, as you may have to deal with difficult situations in highlighting any business issues.
*Proactive and able to work on your own initiative, juggle competing demands whilst effectively managing your own workload.
*Experience of working with key FCA applicable regulations including PRIN, TC, TCF, SYSC, PERG, CONC, DISP and PSD2
*Ability to keep up-to-date with industry developments in Consumer Credit and other relevant regulations.
*Leadership experience in a Compliance environment.
*A role with great exposure and continued development.
*A supportive and growing organisation.
What you will be doing:
*Lead continuous improvement activity on the Monitoring Methodology ensuring that tools, techniques and processes are robust and fit for purpose.
*Lead second line of defence assurance reviews in accordance with the annual Compliance Monitoring Plan.
*Delivery of high quality Monitoring reports, suggesting remedial action where required and tracking issues to closure.
*Undertake root cause analysis of identified issues and provide feedback and/or escalation as appropriate.
*Track all raised findings and recommendations made to the business, ensuring actions are closed in a timely manner and that those actions are adequate to address the finding.
*Production of monthly QA Mi for the Head of Conduct & Compliance Monitoring to review on an ongoing basis.
*Track delivery of the annual Compliance Monitoring Plan, reporting on completion rates to support the Head Of Conduct & Compliance Monitoring in delivery the CMP on time.
*Undertake quality assurance of the Monitoring Team adherence to Methodology providing feedback and coaching as necessary.
*Maintain detailed knowledge of all relevant regulatory requirements.
*Keeping up to date with industry developments in consumer credit.
*Undertake any other reasonable tasks as requested by management.
Who you are and what you’ll need:
Our ideal candidate will be a consummate professional with the following knowledge, capability and experience:
*Experience of developing and working with Compliance Methodology is advantageous.
*Ability to constructively feedback development points to other business functions to drive a positive compliance culture whilst adhering to regulatory and company guidelines.
*Experience of carrying out internal monitoring, producing comprehensive reports and advising on remedial action where necessary, tracking issues to closure.
*Experience in a Consumer Credit Compliance environment, with proven experience in a similar Compliance role.
*Ability to influence stakeholders to take ownership of issues and follow-up to ensure these issues are remediated.
*Excellent work ethic with a real passion to drive improvement.
*Strong communication skills both oral and written and be able to deliver confidently to all levels of the business.
*Calm manner and sensible approach are required, as you may have to deal with difficult situations in highlighting any business issues.
*Proactive and able to work on your own initiative, juggle competing demands whilst effectively managing your own workload.
*Experience of working with key FCA applicable regulations including PRIN, TC, TCF, SYSC, PERG, CONC, DISP and PSD2
*Ability to keep up-to-date with industry developments in Consumer Credit and other relevant regulations.
*Leadership experience in a Compliance environment.
Job number 1891824
metapel
Company Details:
Broster Buchanan Ltd
Company size: 20–49 employees
Industry: Recruitment Consultancy
At Broster Buchanan, we solve our client’s talent needs and support candidates in identifying opportunities that match their aspirations. Our te...