VP Compliance Monitoring & Controls
VP Compliance Monitoring & Controls

VP Compliance Monitoring & Controls

London Full-Time No home office possible
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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

VP Compliance Monitoring & Controls
JR United Kingdom
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