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Compliance Monitoring Manager

Job Seekers United Kingdom Compliance, Risk Management

Job Summary

  • City of London
  • Permanent
  • BBBH807353
  • Mar 30, 2022
  • £80k - £85k
Job Description

Our client a leading London based Broking house are looking to expand their compliance team and this is an exciting team to join

Reporting to the Head of Compliance, and joining a growing organisation, the successful candidate will play a key role in the Compliance department and will take the lead on developing, implementing, and ensuring the delivery of our compliance monitoring programmeMain responsibilities (but not limited to):
Taking the lead on the Compliance Monitoring Programme, the Compliance Monitoring Manager will be responsible for:
* Developing risk-based compliance monitoring activities and methodologies
* Managing and overseeing, and as necessary carrying out monitoring activities
* Drafting reports and escalation memos on findings; preparing and presenting management information
* Building and maintaining relationships with colleagues and stakeholders in the first line, other support functions and compliance department to ensure effective monitoring and appropriate information gathering
* Identifying, preparing, and executing targeted desk reviews
* Assisting on projects to implement new regulations to identify and implement new or enhanced monitoring coverage
* Identifying and escalating potential and actual breaches of the regulatory system and coordinating and reporting on remediation activities
* Contributing to the wider compliance function, its projects as required by the Head of Compliance

Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.

BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.

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Consultant Details

Consultant Details

 Ben Harris
Ben Harris
  • Associate Director
  • +44 (0)20 7092 0168
  • bharris@morganmckinley.com