VP Compliance Monitoring & Controls

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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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