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- Tasks: Lead risk-based reviews and enhance proactive risk management strategies.
- Company: Join a Tier 1 Financial Services business focused on non-financial risk management.
- Benefits: Enjoy a hybrid work model with flexible office days and a dynamic team environment.
- Why this job: Make a real impact in compliance while developing your career in a supportive culture.
- Qualifications: Strong risk perception, FCA knowledge, and experience in compliance roles are essential.
- Other info: Ideal for those with an inquisitive mindset looking to grow in a fast-paced environment.
The predicted salary is between 43200 - 72000 £ per year.
Compliance Monitoring Manager – 2LOD
About the Role:
This is a brilliant opportunity to get deep the non-financial risk management framework of this Tier 1 Financial Services business.
As a Compliance Monitoring Manager, you’ll assist the Head of Compliance Monitoring and Assurance and the Senior Management team in delivering the Compliance Monitoring strategy across the UK.
Key Responsibilities:
- Lead and report on risk-based reviews that identify risk and control themes, potential customer harms, and associated root causes.
- Drive the corrective actions required to enhance their proactive risk management framework and culture.
- Develop and utilise automated assurance and data-led testing.
- Design and lead reviews that identify risk themes, potential customer harm, and root causes, while also highlighting good customer outcomes and best practices.
- Manage review teams, ensuring full accountability for scoping, testing, and reporting.
- Shape review coverage, focusing on the highest regulatory and conduct risks.
- Maintain high standards by ensuring every stage of the monitoring cycle is executed seamlessly.
- Contribute to the implementation and delivery of the consolidated Compliance Risk Assessment aligned with regulatory expectations and business activity.
Ideal skills you’ll bring:
- Excellent risk perception and identification skills, with expertise in escalation management and report writing.
- In-depth knowledge of the FCA (Financial Conduct Authority) Handbook, Consumer Duty, and Retail Banking regulations.
- Well-developed ability to produce management information using digital tools.
- Detailed knowledge of Risk and Compliance functions and the internal and external risk environment.
If you have these skills, even better!:
- Demonstrable experience using automated assurance solutions and methodologies, including data-led testing and analysis, in a Financial Services environment.
- Experience in line managing and leading small review teams in compliance assurance or testing roles.
If you have experience in a similar role combined with an inquisitive mindset, this could be the perfect opportunity to develop your career at the heart of the action.
*** This is a hybrid role with 3 days per week (on average) in the Milton Keynes or Glasgow City Centre office ***
Compliance Monitoring Manager employer: Change Recruitment
Contact Detail:
Change Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Manager
✨Tip Number 1
Familiarize yourself with the FCA Handbook and the latest regulations related to Consumer Duty and Retail Banking. This knowledge will not only help you in interviews but also demonstrate your commitment to understanding the compliance landscape.
✨Tip Number 2
Highlight any experience you have with automated assurance solutions and data-led testing. Be prepared to discuss specific examples of how you've used these methodologies in previous roles, as this is a key aspect of the Compliance Monitoring Manager position.
✨Tip Number 3
Showcase your leadership skills by discussing any past experiences where you managed review teams or led compliance assurance projects. Emphasizing your ability to drive corrective actions and enhance risk management frameworks will set you apart.
✨Tip Number 4
Prepare to discuss your approach to identifying risk themes and potential customer harms. Being able to articulate your thought process and the steps you take to ensure good customer outcomes will resonate well with the hiring team.
We think you need these skills to ace Compliance Monitoring Manager
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly read the job description for the Compliance Monitoring Manager position. Understand the key responsibilities and ideal skills required, so you can tailor your application accordingly.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in risk management, compliance assurance, and report writing. Provide specific examples that demonstrate your expertise in these areas, particularly in relation to the FCA Handbook and Consumer Duty.
Showcase Your Skills: Make sure to highlight your skills in using digital tools for producing management information and your experience with automated assurance solutions. This will show that you are well-equipped to handle the technical aspects of the role.
Tailor Your Application: Customize your cover letter to reflect your understanding of the company's compliance monitoring strategy and how your background aligns with their goals. Mention your interest in contributing to their proactive risk management framework.
How to prepare for a job interview at Change Recruitment
✨Showcase Your Risk Management Expertise
Be prepared to discuss your experience with risk perception and identification. Highlight specific examples where you've successfully identified risks and implemented corrective actions, as this aligns closely with the role's responsibilities.
✨Demonstrate Knowledge of Regulatory Frameworks
Familiarize yourself with the FCA Handbook, Consumer Duty, and Retail Banking regulations. During the interview, reference your understanding of these frameworks and how they impact compliance monitoring.
✨Highlight Your Data-Driven Approach
Since the role involves automated assurance and data-led testing, be ready to discuss your experience with digital tools and methodologies. Share examples of how you've utilized data to enhance risk management processes.
✨Prepare for Team Management Questions
As the position requires managing review teams, think about your leadership style and past experiences in line management. Be ready to discuss how you ensure accountability and high standards within your team.
