Compliance Monitoring Manager - Rugby, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
Rugby, United Kingdom

2 weeks ago

Tom O´Connor

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Tom O´Connor

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Description
Continuing this trend, my client are expanding their compliance monitoring team in order maintain their stella track record.


The Role

  • Executing the firms Compliance Monitoring Plan alongside other Compliance Monitoring Managers
  • Conducting Monitoring reviews
  • Speaking to Senior Managers about the results of compliance monitoring as necessary
  • Develop monitoring procedures and methodology and make suggestions on improvements to management.
  • Working with Management Information and communicating it to Key Stakeholders
  • Attend Committee meetings
  • Build strong relationships
  • At least 5 years experience in Compliance Monitoring with particular skills in one of these:
  • GDPR
  • CASS
  • Financial Crime
  • Epayments
  • Ideally this experience should be with a Buy Side perspective. Asset Management or Private Wealth Management is perfect. Banking isn't.
  • Exceptional knowledge of the UK regulatory environment.
  • Have or be working towards industry qualifications.
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