Compliance Monitoring Manager

THE COMPANY:

Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London.

THE RESPONSIBILITIES:

• Drive compliance oversight through the testing and monitoring programme
• Identify areas for enhancements of systems and controls operated by the firm, and support the implementation of required changes;
• Execute all testing and monitoring activities in a timely and thorough manner in accordance with industry
• Discuss and agree any remedial actions emerging from the testing and monitoring activities
• Follow through to ensure agreed action plans are met in a timely and accurate manner;
• Report on outcomes and conclusions of testing and monitoring, and ancillary activities, including the remediation of any gaps
• Effectively and clearly organise and document information arising from the execution of the monitoring and testing programme
• Prepare management presentations and communication on regulatory developments and Compliance Monitoring Framework;
• Create, maintain, and implement compliance-related policies, conduct internal compliance reviews, and perform legislative and regulatory gap analysis
• Assist the Compliance department with its advisory role in the business by conducting research, processing requests and queries;
• Manage product governance regulatory requirements, including regulatory compliance advise in periodic reviews, regulatory change impact;
• Monitor changes to the business and areas of regulatory change and work with colleagues to assess the impact on the compliance testing and monitoring plan and the business;
• Support others in the General Compliance team as required.

EXPERIENCE REQUIRED:

• Prior experience in regulatory compliance, audit or risk function
• Knowledge of the applicable regulatory framework, including Conduct Risk other relevant FCA sourcebooks.
• Outstanding analytical, problem solving, organisation and follow-up skills.
• An analytical mindset
• A pragmatic, commercial and creative approach to problem solving and decision-making.
• A team player with great people skills

For further information please contact Natalie Eshelby