Compliance Monitoring Manager

April 5

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Brokerage • Technology • Advanced Technology • ESG • FinTech

1001 - 5000

Description

• Drive compliance oversight through the testing and monitoring program • Identify areas for enhancements of systems and controls operated by the firm, and support the implementation of required changes • Execute all testing and monitoring activities in a timely and thorough manner in accordance with industry standards and expectations of management, auditors, and the FCA, covering all regulatory risks overseen by general compliance, notably Product Governance, PRIIPS, Client Appropriateness, Categorization, Product Restrictions, Financial Promotions, Consumer Duty and other conduct related matters under MiFID II/FCA Handbook • Liaise with control owners to discuss and agree on any remedial actions emerging from the testing and monitoring activities and follow through to ensure agreed action plans are met in a timely and accurate manner

Requirements

• Bachelor’s degree or equivalent. • Prior 3+ years’ experience in regulatory compliance, audit, or risk function in an investment or platform-based environment, ideally within areas of General Compliance or Investment Compliance. • Knowledge of the applicable regulatory framework, including Conduct Risk, Consumer Duty, COBS, PERG, SYSC, PROD and other relevant FCA sourcebooks. • Outstanding analytical, problem-solving, organization, and follow-up skills. • An analytical mind and able to recognize and pinpoint the complexities of procedures and regulations but then simplify these for others. • A pragmatic, commercial, and creative approach to problem-solving and decision-making. • A team player with great people skills who can effectively collaborate with colleagues throughout the business to build strong relationships and achieve results. • High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions (strong Excel skills are a must). • Ability to work independently (exercising judgment with discretion) and manage multiple, deadline-driven priorities with strong attention to detail in a fast-paced work environment. • Ability to work under pressure, formulate and articulate solutions and defend assumptions. • Versatile as the needs and demands of the team evolve.

Benefits

• Career support and development • Salary commensurate with experience • Performance-based discretionary cash bonus scheme • Discretionary stock grant • Group Life Assurance cover • Group Income Protection • Occupation pension scheme based on Gross earnings • Hybrid working model • Above statutory annual leave, increasing with service • Daily company-paid lunch and healthy snack options throughout the day (when working from the office) • Access to Private Medical Insurance, Dental Plan and / or Health Cash Plan* • Corporate events • Travel season ticket loans • Cycle to work scheme