Back to jobs
Compliance Monitoring Manager
- Posted 24 August 2021
- Salary £60000 - £75000 per annum
- Location
- Job type Permanent
- Discipline Banking Operations
- ReferenceCOmMonManager_1629820101
- Contact NameWill Goodman
Job description
My Client is a privately owned commercial insurance broker are looking for a Compliance Monitoring Manager to join the rapidly expanding team based in the heart of the city. The role is based on a hybrid working pattern between our London office or Home working
The Role:
Salary: 60-75K
Based in Fenchurch Street
Overall Objectives
To ensure the best interests of our customers are met and regulatory requirements satisfied by:
- promoting a culture of continual improvement in the quality of the customer experience
- implementing and embedding appropriate Policies and Procedures to guide and inform the way we work and promote the right behaviours.
- working in partnership with the Business in monitoring and responding to relevant KPIs, new developments - internal or external
- providing pro-active support and constructive advice on compliance and related matters and be seen as a 'Trusted Advisor'
Main Duties include:
- Develop and maintain a risk-based Group Compliance Monitoring Plan
- Implement Monitoring Plan with support from Compliance staff
- Devise, conduct and document annual risk assessments of Financial Crime risk
- Devise and coordinate regular TCF / Conduct Risk gap analysis in line with Compliance Plans
- Provide assurance of the effectiveness of Systems and Controls across Group companies
- Assess and contribute to the management of Compliance and other Risks
- Support the oversight of due diligence remediation and integration activities (post-completion)
- Oversee 2nd line file review activities (direct report), ensuring risk-based focus and appropriate follow up