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Job Details

Closing Date
28/12/2018 16:44
Leeds (Head Office)
19 November 2018

Compliance Monitoring Manager

Our Compliance Department is seeking an enthusiastic Compliance Monitoring Manager to join their team based in our Leeds office.

Reporting to the Director of Regulation, the role involves ensuring the successful development of the firm in line with the strategy identified in the business plan including fulfilment of the FCA requirements.

Main responsibilities
  • To agree with Director of Regulation, a risk-based Monitoring Plan, to meet the rules of the Financial Services and Market Act and to monitor progress against the Plan.
  • To identify gaps and develop, implement and monitor the rules and guidance of both regulations and Partnership.
  • To supervise the monitoring team on a day to day basis to help achieve targets and monitor business risks in accordance with regulatory requirements and internal procedures, both desk and field based.
  • Deputise for and support Director of Regulation as required.
  • Develop and maintain risk monitoring function- provide monthly KRI data and quarterly Business Plan reports on firm's risk framework and ensuring risk matrix is maintained.
  • Create and implement an effective interfaced monitoring programme across the business (both Branch network and internal) by combining desk based and branch unit monitoring.
  • Ensure compliance with the FCA requirements by assisting Policy and Development in the maintenance and development of Branch and Department manuals and implementing and monitoring procedures to ensure the requirements are being followed.
  • Carry out responsibilities for staff training and development, including supervision, appraisals and the monitoring and assessment of personal development objectives.
  • Provide both internal and external presentations as required.
  • Carry out any other duties as requested to support and deputise for colleagues.
  • Ensure that effective supervision takes place for all CF30s and other staff by monitoring adherence to CPD and Training and Competence guidelines.
  • Ensure effective and timely approvals of financial promotions, monitoring of audit limits, overdue accounts.
  • Take responsibility for dealing with customer complaints efficiently and effectively including contributing to FOS responses.
  • Contribute to the formulation of a risk-based T&C scheme for CF30s and back office.
  • To provide MI which is relevant and accurate to enable TCF reporting and monitoring, providing support as required.
Ideally educated to degree or equivalent standard, minimum CISI or equivalent (level 4). Sound knowledge of FCA regulations, having passed or be actively working towards CISI Regulatory and Securities Modules or equivalent IOC,  CII, IFS, IFP module

25 days holiday plus bank holidays, discretionary bonus, contributory pension, private medical care and cycle to work scheme.
If you are looking for a new opportunity to join a successful, reputable firm with a culture where everyone is valued and recognised for their contribution please send your CV.
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