We are excited to be partnering with a rapidly growing Investment Manager based in Leeds looking for a Compliance Monitoring Manager to lead the monitoring function.
Responsibilities
- Develop and implement a risk-based Compliance and Central Monitoring Plan that aligns with risk appetite and regulatory requirements.
- Deliver the monitoring plan for Client-Facing Executives, including oversight of branch visits and related activities.
- Provide second-line assurance through oversight and Training & Competency monitoring.
- Oversee the execution and timely completion of thematic reviews and regular testing, including complex thematic assessments.
- Draft and maintain procedures for new or revised regular testing activities.
- Identify weaknesses or gaps within the compliance framework through targeted reviews, testing, and analytical assessments.
- Prepare comprehensive compliance reports for senior management and the Board, summarizing key findings, emerging risks, and recommended remediation actions.
Requirements
- Minimum of CISI or CII Level 4 qualifications and working towards Level 6
- Minimum of 5 years’ Compliance experience within the financial services or a similar regulated industry.
Location: Leeds (hybrid working)
Salary: up to £750,000 (plus bonus & benefits)
For further information please contact daniel.billin@eamesconsulting.com
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Other
Industries
Financial Services and Investment Management
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Compliance Monitoring Manager in Leeds employer: Eames Consulting
Join a well-respected syndicate that values expertise and fosters a collaborative work culture, making it an excellent employer for Senior Claims Adjusters. With a focus on employee growth and development, you will have the opportunity to manage a diverse portfolio of complex claims while working alongside industry leaders in a dynamic London Market environment. Enjoy competitive benefits and a supportive atmosphere that encourages professional advancement and meaningful contributions to the team.
