Compliance Monitoring Manager

Recruiter
Anonymous
Location
Surrey
Salary
50000.00 - 60000.00 GBP Annual + GBP50000 - GBP60000/annum
Posted
19 Apr 2017
Closes
27 Apr 2017
Category
Accounting
Function
Consultant
Contract Type
Permanent
Hours
Full Time
Your key duties would be to:

- Provide pro-active identification of risks that the business may fail to meet the standards defined or expected by the Board and FCA
- Deliver an Advice Review function
- Provide formal oversight, manage and maintain the relationship between the firm and its chosen outsourcer of file reviews
- Identify key underlying issues and root causes through precise, careful and unbiased investigations and propose appropriate risk mitigation actions. Provide well-written, succinct reports to the Compliance Director and Board on your findings and proposals for remediation
- Assist with collating information for internal MI and regulatory returns and notifications
- Conduct past business reviews where required and provide the Compliance Director with progress summaries and final report
- Ensure that a pro-active Compliance function operates that anticipates the businesses need for assurance assesses risks and offers appropriate guidance.

Required experience and knowledge:

- Proven track record working as a Compliance Audit Manager within a financial advisory company
- Level 4 financial services qualification
- Experience of design and delivery of audit reviews
- Strong knowledge of products, across Investments, Pensions, Mortgages and Protection
- Strong understanding of FCA handbook, TCF and FOS precedents

If you are interested in this Compliance Audit Manager position and have the relevant skills and experience then please apply now

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