This is a newly role, working as part of an established compliance function and providing support the Compliance Manager Policy and Monitoring. Key to this role will be delivering and leading high quality and challenging compliance monitoring reviews which delivers significant assurance and challenge to senior business leaders.
Key responsibilities include:
- Input to the maintenance of a high-quality compliance monitoring plan and associated action programme, which assesses performance against and risks arising from the range of policy and compliance obligations.
- Management of action programmes which ensures that the firm acts on the issues identified in review and risks are appropriately mitigated.
- Development of professional standards in compliance monitoring
- Engagement with key stakeholders to gain a fuller understanding of business aims, processes and procedures and related risks surrounding review areas, demonstrating business and management understanding.
- Determining the approaches and methodology to be used to assess review areas, ensuring integrity of inputs and outputs.
- Undertaking and supporting review testing activities to establish: levels of adherence to processes and procedures; the clarity of records, publications and reports; and staff members' understanding.
- Analysing and summarising findings from testing activities to understand the causes of issues seen and to identify requirements to address shortfalls.
- Drafting reports to summarise the activities undertaken, set out review findings and recommended actions to be completed.
- Agreeing actions with key stakeholders and tracking those actions through to completion
- Reporting the progress of review activity and the completion of actions
Experience and knowledge required:
- Good knowledge of the UK regulatory framework and a proven track record of working in a similar function for a global financial services institution
- Good technical understanding of key conduct regulations and the ability to quickly develop a good understand of new regulatory requirements.
- Knowledge and experience in the design, implementation and management of effective risk management frameworks and operating risk control processes.
- Experience of working in a dynamic and demanding environment.
- Experience of working within a regulated environment.
- Experience of managing aspects of complex projects and workstreams, and leading or managing simpler projects and workstreams.
- Experience of dealing with conflicts and disputes in a facilitative and open manner and the ability to develop creative and innovative solutions to unique and complex problems.
- The ability to work individually with little supervision or as part of a professional team.
- Information analysis and problem-solving skills, with the ability to apply a logical approach.
- Strong stakeholder management and ability to work autonomously in and with the business, often in challenging situations.
- Ability to evaluate complex situations and requirements to deliver insightful recommendations that focus on causes not symptoms.
- Clear and concise verbal and non-verbal communication.
Eames Consulting is acting as an Employment Agency in relation to this vacancy.