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- Tasks: Lead compliance monitoring reviews and enhance processes for better customer outcomes.
- Company: Dynamic company focused on regulatory compliance in the financial sector.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Why this job: Make a real impact by ensuring compliance and improving customer experiences.
- Qualifications: Experience with FCA practices and strong analytical skills required.
- Other info: Opportunity to grow in a fast-paced environment with a focus on ethics.
The predicted salary is between 36000 - 60000 £ per year.
The Compliance Monitoring Manager will be responsible for significantly contributing to the design and delivery of a risk based annual Compliance Monitoring Plan, and deputising for the Head of Compliance Monitoring when required. The role holder will work closely with the Head of Compliance Monitoring to scope, conduct and deliver assigned monitoring reviews as per risk based annual Compliance Monitoring Plan in line with the UK Compliance Monitoring Methodology and agreed timescales. They will strive to continuously enhance monitoring processes and actively engage and build relationships with key stakeholders across the business throughout the review and action tracking processes.
Key Responsibilities
- To plan, review and conclude Compliance Monitoring reviews in line with the agreed annual Compliance Monitoring Plan while adhering to the standards set out in the Compliance Monitoring Methodology and within agreed timescales.
- To step in and deputise and support the Head of Compliance Monitoring when required, including taking responsibility for the delivery of the Monitoring Plan and team management when the Head of Compliance is absent.
- Ensure a culture where good customer outcomes are met and actively identify opportunities for improvement.
- Ensuring regulatory risks are managed, reported and escalated as appropriate.
- Executes a range of advisory activities to the business on compliance-related matters and on the regulatory implications of new and existing products, business initiatives, campaigns, services, and processes.
- Undertakes the implementation and assessment of legal and regulatory requirements, internal programmes and policies, standards, and procedures.
Expertise
- Prior knowledge of Financial Conduct Authority (FCA) practices within the General Insurance sector.
- Knowledge and application of FCA Handbook and Consumer Duty, specifically ICOBS, DISP, SYSC, PROD, SUP, COND, GEN.
- Strong ethical and Customer values.
- Analytical thinking, Critical thinking and decision making.
- Risk Management.
- Good verbal and written communication of technical matters to varying audiences.
- Business and Commercial awareness.
- Proven ability to achieve and sustain a high level of accuracy and efficiency.
- Good collaboration, conflict resolution, influence, and negotiation skills.
Compliance Manager employer: Actus Search
Contact Detail:
Actus Search Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Network like a pro! Reach out to people in the compliance field, especially those who work in companies you're interested in. A friendly chat can open doors and give you insights that job descriptions just can't.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA practices and the Compliance Monitoring Methodology. We want you to be able to discuss how you can enhance monitoring processes and ensure good customer outcomes with confidence!
✨Tip Number 3
Showcase your analytical and critical thinking skills during interviews. Be ready to share examples of how you've managed regulatory risks or improved compliance processes in past roles. We love hearing about real-life experiences!
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always looking for passionate individuals who align with our values and can contribute to our compliance goals.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience with compliance monitoring and FCA practices. We want to see how your skills align with the role, so don’t hold back on showcasing your relevant achievements!
Showcase Your Analytical Skills: Since the role requires strong analytical thinking, include examples in your application that demonstrate your ability to assess risks and make informed decisions. We love seeing how you tackle challenges and improve processes!
Communicate Clearly: Good communication is key in this role, so ensure your written application is clear and concise. Use straightforward language to explain your experience and how it relates to the responsibilities outlined in the job description.
Apply Through Our Website: We encourage you to apply directly through our website for a smoother process. It’s the best way for us to receive your application and keep track of it, plus you’ll get all the latest updates from us!
How to prepare for a job interview at Actus Search
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of the Financial Conduct Authority (FCA) practices, especially within the General Insurance sector. Familiarise yourself with the FCA Handbook and key regulations like ICOBS and DISP. This will show that you're not just a good fit for the role, but that you genuinely understand the compliance landscape.
✨Showcase Your Analytical Skills
Prepare to discuss specific examples where you've used analytical thinking and decision-making in past roles. Think about how you identified risks and implemented solutions. Being able to articulate these experiences will demonstrate your capability to manage compliance effectively.
✨Build Relationships
Since the role involves engaging with key stakeholders, think about how you can showcase your collaboration and negotiation skills. Prepare anecdotes that highlight your ability to build relationships and resolve conflicts, as this will be crucial in ensuring good customer outcomes.
✨Be Ready to Discuss Improvements
The job requires a focus on continuous improvement in monitoring processes. Come prepared with ideas or examples of how you've enhanced processes in previous roles. This shows initiative and a proactive approach to compliance management, which is exactly what they’re looking for.
