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For Companies At a Glance
- Tasks: Lead compliance monitoring reviews and ensure regulatory standards are met.
- Company: Join an international banking group with diverse financial products and services.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth.
- Why this job: Make a real impact in compliance while developing your skills in a supportive culture.
- Qualifications: Experience in compliance advisory or monitoring within financial services is essential.
- Other info: Opportunity to collaborate with various teams and enhance your regulatory knowledge.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY: Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance.
THE RESPONSIBILITIES:
- Implement the Bank’s Compliance Monitoring framework, processes and procedures in line with industry and regulatory standards and the Bank’s risk appetite.
- Aid in reviewing and updating compliance monitoring procedures to drive continuous improvement.
- Lead on compliance monitoring reviews as outlined in the compliance monitoring plan, covering the Bank’s regulated activities.
- Prepare terms of reference, test the design and operational effectiveness of regulatory controls, write reports, agree findings with key stakeholders and track all issues and remediation through to closure.
- Conduct quarterly customer outcomes testing as part of the Bank’s consumer duty requirements.
- Influence and guide internal stakeholders to ensure the successful implementation of the compliance monitoring framework and the resolution of issues/actions.
- Support in evaluating the ongoing effectiveness of the Compliance RCSAs and work with Operational Risk to ensure alignment.
- Collate all required compliance Management Information (MI) relating to monitoring and regulation and analyse trends and issues to provide information and assurance to key internal governance forums.
- Proactively develop own knowledge of regulatory compliance and share best practice with members of the wider Risk Teams and across the bank as appropriate.
- Support the business through the provision of timely and outcomes-focussed regulatory advice and guidance, as part of project and change programmes and resolving ad hoc queries which arise from time to time.
- Support the Senior Compliance Manager in the collation of MI and the co-ordination of slides for the Legal and Regulatory Compliance Committee pack.
- Maintain the Conflicts of Interest and Gifts and Entertainment Registers.
- Review compliance policies, standards and procedures when required.
- Provide regulatory training to internal stakeholders.
EXPERIENCE REQUIRED:
- Demonstrable experience in a Compliance advisory, monitoring or Audit related role within financial services.
- Experience in Compliance Monitoring activity.
- In depth regulatory knowledge of FCA regulation affecting the Bank, including knowledge of the FCA Consumer Duty.
- Excellent oral, written communication and organisational skills as well as the ability to present confidently and work effectively with staff and management at all levels.
- Ability to investigate, analyse and interpret MI.
- Issue Management capabilities displaying effective organisational and stakeholder management skills.
For further information please contact Hannah Tabatabai.
Compliance Manager (Advisory & Monitoring) employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager (Advisory & Monitoring)
✨Tip Number 1
Familiarise yourself with the latest FCA regulations, especially those related to Consumer Duty. This will not only help you understand the compliance landscape but also demonstrate your proactive approach during interviews.
✨Tip Number 2
Network with professionals in the compliance field, particularly those working in financial services. Attend industry events or webinars to gain insights and make connections that could lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've implemented compliance monitoring frameworks in previous roles. Highlight your problem-solving skills and ability to influence stakeholders effectively.
✨Tip Number 4
Stay updated on current trends and challenges in regulatory compliance. Being knowledgeable about recent developments will show your commitment to continuous improvement and your readiness to contribute to the team.
We think you need these skills to ace Compliance Manager (Advisory & Monitoring)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance advisory, monitoring, or audit roles within financial services. Emphasise your knowledge of FCA regulations and any specific achievements related to compliance monitoring.
Craft a Strong Cover Letter: In your cover letter, address how your skills align with the responsibilities outlined in the job description. Mention your experience with compliance monitoring frameworks and your ability to influence internal stakeholders effectively.
Showcase Communication Skills: Since excellent communication skills are crucial for this role, provide examples in your application that demonstrate your ability to present confidently and work with various levels of staff and management.
Highlight Continuous Improvement Initiatives: Discuss any past experiences where you have contributed to the continuous improvement of compliance processes or procedures. This will show your proactive approach and commitment to enhancing compliance standards.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Familiarise yourself with the FCA regulations, especially those related to Consumer Duty. Being able to discuss these in detail will show your depth of knowledge and commitment to compliance.
✨Demonstrate Analytical Skills
Prepare examples of how you've previously analysed compliance issues or trends. Highlight your ability to interpret Management Information (MI) and how it influenced decision-making.
✨Showcase Communication Skills
Since the role requires excellent communication, practice articulating complex compliance concepts clearly. Be ready to discuss how you've effectively communicated with stakeholders at various levels.
✨Prepare for Scenario Questions
Expect scenario-based questions where you may need to demonstrate your problem-solving skills. Think about past experiences where you successfully resolved compliance issues and be ready to share those stories.
