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VP Compliance Monitoring & Controls, London
Client:
Morgan McKinley
Location:
London, United Kingdom
Job Category:
Other
–
EU work permit required:
Yes
Job Views:
2
Posted:
31.05.2025
Expiry Date:
15.07.2025
Job Description:
Key objectives:
- Assist in designing, implementing, and executing the Compliance Monitoring Program
- Lead Non-FS Compliance projects
- Ensure effective implementation of the Compliance Control & Risk Management framework (CCRM)
- Maintain controls, procedures, and training to ensure Regulatory Compliance
- Advise on all Regulatory Compliance matters (FCA – MiFID, Credit Broking, Insurance Mediation & RICS)
- Lead Regulatory Engagements internally and externally
- Contribute to Regulatory Watch and horizon scanning for new regulations impacting UK Real Estate
- Support the design and production of Regulatory Compliance MI
- Review and challenge the RE UK Risk and Control Self-Assessment (RCSA)
- Deputise for the Compliance COO as needed
Purpose:
- Manage the CCRM framework
- Perform independent testing and verification of controls
- Complete Compliance Central Control Library (CCL) and Thematic reviews
- Develop the yearly Compliance Monitoring Programme
- Conduct Compliance Monitoring Reviews
- Review business lines/locations for compliance with policies and regulations
- Follow-up on mitigation actions from reviews, audits, and regulatory findings
- Monitor Compliance Risks and Controls
- Provide information for Compliance committees
- Lead Compliance projects and ensure timely delivery
- Review and challenge RE UK RCSA with global and local teams
- Ensure controls, procedures, and training align with RICS, FCA, and BNPP Group standards
- Advise employees on RICS and FCA rules
- Manage Regulatory Engagements and communications with regulators
- Lead regulatory horizon scanning and respond to consultations
- Implement SMCR Framework and ensure ongoing fitness & propriety of SMFs
- Participate in regulatory change assessments and projects
- Maintain FCA Connect and Reg Data submissions
- Coordinate FCA and RICS site visits
- Review and update Regulatory Compliance Policies
- Oversee REAPM (S&PFB)/REIM Regulatory Conduct oversight
- Assist in management reporting and external seminars
- Contribute to Compliance training programs
- Support NAC and TAC processes
- Support the Compliance COO in meetings, projects, and presentations
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Contact Detail:
JR United Kingdom Recruiting Team