Interim Compliance Monitoring Manager

3 weeks ago

Bristol, United Kingdom eFinancialCareers Full time

**Accountabilities**:

- Planning, scoping and conducting regular monitoring independently to a high quality
- Conducting root cause analysis of issues identified, addressing these with management to agree next steps and then track appropriate management actions to closure per the agreed target date
- Providing critical feedback and challenge to managers at all levels.
- Contributing towards the continuous improvement of the Compliance Monitoring function, its processes, controls and methodologies
- Building and maintaining strong relationships with senior managers across the business
- Supporting the ongoing maturity of the firm’s approach to governance, risk management, and compliance through effective control assurance.
- Where required, working with third party co-source providers to leverage external expertise and industry insight

**Experience**:

- Experienced in compliance, risk or audit roles in a UK Asset, Platform &/or Wealth Management market
- Experience of compliance oversight/assurance activity, risk assurance or internal audit
- Relevant governance, risk management and control expertise
- Relevant knowledge of the regulatory environment
- Stakeholder management and engagement
- Understanding and experience of the three lines of defence model
- The ability to communicate issues and challenge effectively
- Comprehensive knowledge and understanding of Asset Management/Wealth Management products and markets; of UK and European financial services regulation and policy environment and regulatory processes
- Excellent communication skills to explain / interact / engage / influence with and between stakeholders (internal)

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