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- Tasks: Lead compliance monitoring and controls, ensuring regulatory standards are met across all business lines.
- Company: Join a leading firm in Real Estate UK, committed to excellence and compliance.
- Benefits: Enjoy flexible working options, professional development opportunities, and a supportive team culture.
- Why this job: Make a real impact on compliance practices while growing your career in a dynamic environment.
- Qualifications: Experience in compliance, risk management, or regulatory roles is essential; strong analytical skills required.
- Other info: Opportunity to engage with regulators and contribute to significant compliance projects.
The predicted salary is between 72000 - 108000 £ per year.
Key objectives:
- Assist in the designing, implementation and execution of the Compliance Monitoring Program
- Lead in the implementation of Non-FS Compliance projects
- Ensure the Compliance Control & Risk Management framework (CCRM) is effectively implemented/executed to the required standard
- Ensure appropriate controls, procedures and training are in place ensuring compliance with all Regulatory Compliance requirements
- Provide expert advice and support on all Regulatory Compliance matters (FCA - MiFID, Credit Broking, Insurance Mediation & RICS – Code of Conduct)
- Lead all forms of Regulatory Engagement both internally and externally
- Contribution to Regulatory Watch
- Horizon scanning identification of new regulations impacting Real Estate UK
- Support the design and production of all Regulatory Compliance MI
- Complete check and challenge of the applicable RE UK Risk and Control Self-Assessment (RCSA)
- Deputise for the Compliance COO as and when required
Purpose:
- Responsibility for the management of the Compliance Control & Risk Management (CCRM) framework:
- Independent testing (verification & re-performance of Generic Control Library (GCL - 1LoD controls)
- Completion of Compliance Central Control Library (CCL)
- Completion of Thematic reviews
- Production of the yearly Compliance Monitoring Programme across all applicable Business lines
- Completion of Compliance Monitoring Reviews
- Conduct reviews/testing across business lines/locations ensuring all relevant Compliance Controls, Policies and Procedures, regulations have been fully and effectively implemented
- Ensure the follow-up and timely execution of all business mitigation actions/plans from all risk reviews/tests, internal and external audit findings as well as any regulatory findings
- A review/testing process of all Compliance Risks and Controls
- The tracking and monitoring of all findings and mitigation plans.
- Assist in the provision of information for Compliance committees/meetings
- Lead applicable Compliance projects, issued by Group or within RE UK. Ensuring these are delivered on time, to required standard.
- Complete check and challenges of applicable RE UK RCSA, liaising with Global and local RE UK Teams as necessary
- Ensure appropriate controls, procedures and training are in place to ensure compliance with the Codes of Conduct of the RICS, FCA (MiFID, Credit Broking, Insurance Mediation) and BNPP Group.
- Provide ad hoc advisory support to all employees on questions relating to RICS Code of Conduct and FCA (MiFID, Credit Broking, Insurance Mediation) rules and regulations
- Managing Regulatory Engagement, i.e. overseeing who in the firm deals with and is involved with the different regulators
- Taking the lead in supporting the COO in managing communications with the FCA/RICS
- Manage the Regulatory rules and risk horizon scanning for RICS and FCA rules, including lobbying and responding to consultation papers, take the Compliance lead in presenting Compliance’s requirements and views in the Legal lead Regulatory Watch Committee.
- Responsible for effective implementation of the Senior Management & Certification Regime (SMCR) Framework. Including on-going Fitness & Propriety of SMFs.
- Participate in or lead, as appropriate, regulatory change impact assessments and implementation projects as the Compliance subject matter expert on regulation and to arbitrate on regulatory interpretations where differences of view exist.
- Maintenance & completion of applicable information/returns within Reg Data and FCA Connect
- Co-ordinate site visits from the FCA or RICS
- Ensure that Regulatory Compliance Policies and Procedures are appropriately produced and communicated and then reviewed and updated as required
- Oversee REAPM (S&PFB)/REIM day to day Regulatory Conduct oversight, including governance, Compliance framework, Financial Promotions and helping with BAU non-FS ad hoc questions.
- Assist the COO in the preparation of management information papers (e.g. EXCOM Committee decks and Monthly Compliance Management meeting decks)
- Attendance at external regulatory and industry trade seminars/forums with ability to provide concise feedback to Senior Compliance Management.
- Contribute to the design, execution of Compliance e-Learning and face-to-face training
- Support New Activity Committee (NAC) and Transaction Activity Committee (TAC) process
- Provide support to the Compliance COO. Deputising for management meetings, projects, presentations.
VP Compliance Monitoring & Controls employer: Morgan McKinley
Contact Detail:
Morgan McKinley Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land VP Compliance Monitoring & Controls
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance frameworks relevant to the role, such as FCA guidelines and RICS Code of Conduct. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the compliance sector, especially those who have experience with regulatory bodies like the FCA. Engaging in discussions or attending industry events can provide insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented compliance programmes or managed regulatory engagements in previous roles. Real-life scenarios can showcase your expertise and problem-solving skills.
✨Tip Number 4
Research StudySmarter's values and culture to align your approach during interviews. Understanding our mission and how compliance plays a role in our operations can help you articulate why you're a great fit for the team.
We think you need these skills to ace VP Compliance Monitoring & Controls
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance monitoring and controls. Focus on your leadership roles, particularly in implementing compliance frameworks and managing regulatory engagements.
Craft a Strong Cover Letter: In your cover letter, emphasise your expertise in FCA regulations and your ability to lead compliance projects. Use specific examples from your past experiences that demonstrate your skills in risk management and regulatory compliance.
Showcase Relevant Skills: Clearly outline your skills related to compliance, such as risk assessment, regulatory engagement, and training development. Mention any specific tools or methodologies you have used in previous roles that align with the job requirements.
Highlight Leadership Experience: Since this is a VP position, it’s crucial to showcase your leadership experience. Discuss how you have led teams or projects in the past, particularly in the context of compliance and regulatory matters.
How to prepare for a job interview at Morgan McKinley
✨Understand the Compliance Landscape
Familiarise yourself with the latest regulations and compliance frameworks relevant to the role, such as FCA, MiFID, and RICS. Being able to discuss recent changes or challenges in these areas will demonstrate your expertise and commitment.
✨Showcase Your Leadership Skills
As a VP, you'll need to lead teams and projects effectively. Prepare examples of how you've successfully managed compliance initiatives or led teams in previous roles. Highlight your ability to motivate and guide others through complex regulatory environments.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance situations. Think about past experiences where you had to navigate regulatory challenges or implement compliance controls, and be ready to discuss your thought process and outcomes.
✨Demonstrate Strong Communication Skills
Effective communication is key in compliance roles. Be prepared to explain complex regulatory concepts in simple terms, as you may need to advise non-compliance staff. Practice articulating your thoughts clearly and confidently during the interview.
