Interim Compliance Monitoring Manager - Bristol, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

Bristol, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Accountabilities:

Planning, scoping and conducting regular monitoring independently to a high quality
Conducting root cause analysis of issues identified, addressing these with management to agree next steps and then track appropriate management actions to closure per the agreed target date
Providing critical feedback and challenge to managers at all levels.
Contributing towards the continuous improvement of the Compliance Monitoring function, its processes, controls and methodologies
Building and maintaining strong relationships with senior managers across the business
Supporting the ongoing maturity of the firm's approach to governance, risk management, and compliance through effective control assurance.
Where required, working with third party cosource providers to leverage external expertise and industry insight

Experience:

Experienced in compliance, risk or audit roles in a UK Asset, Platform &/or Wealth Management market
Experience of compliance oversight/assurance activity, risk assurance or internal audit
Relevant governance, risk management and control expertise
Relevant knowledge of the regulatory environment
Stakeholder management and engagement
Understanding and experience of the three lines of defence model
The ability to communicate issues and challenge effectively
Comprehensive knowledge and understanding of Asset Management/Wealth Management products and markets; of UK and European financial services regulation and policy environment and regulatory processes
Excellent communication skills to explain / interact / engage / influence with and between stakeholders (internal)