Compliance Monitoring Manager

4 weeks ago

Ipswich, United Kingdom Link Fund Solutions Full time

**Overview**

The objective of compliance monitoring is to:

- Provide an effective mechanism through which to monitor adherence to policies and procedures and to the letter and spirit of the legislative and regulatory obligations imposed on BCM Global
- Provide assurance to the Board that BCMGlobal is compliant with its legal and regulatory obligations.
- Mitigate or minimise regulatory / compliance risk where control weaknesses are identified.
- Provide senior management with adequate and relevant management information. To ensure compliance monitoring is efficient and successful the following principles are adhered to:

- The approach is consistent across the organisation.
- The process is simple and transparent.
- There is extensive collaboration with other functions that have distinct knowledge of compliance risks.
- There is flexibility to incorporate regulatory change.

The FCA’s expectations in relation to risk-based compliance monitoring is to embed a compliance culture that is not simply about ticking boxes, but ensuring regulated firms are doing the right thing in the right way and considering the spirit as well asthe letter of the requirements.

The role holder is responsible for the design and delivery of the annual compliance monitoring plan in a manner consistent with the expectations of the FCA and having regard to the internal and external risk environment in which the Company operates. Therole holder may also be required to design a risk based assurance plan having regard to other risks pertinent to the company’s operations such as operational and strategic / business model risk.

**Key Accountabilities and main responsibilities**
- Execute the compliance monitoring reviews in line with the Compliance Monitoring Plan.
- Ensure the Compliance Monitoring Plan remains fit for purpose throughout the year taking account of internal and external influences.
- Oversight of production of compliance monitoring MI.
- Own and execute reviews on Compliance Obligations Register controls and other ad-hoc review requests (as required).
- Track all remediation activities from compliance monitoring reviews to closure, ensuring suitable evidence is provided by the action owner to close the action.
- Completion of compliance monitoring reports.
- Responsible for maintaining clear audit trails of all monitoring activity and maintaining an up-to-date compliance monitoring methodology.
- Assist in production of compliance MI and reports for Risk and Compliance meetings and Board, and regulatory requests as and when required.
- Input into the design and development of the Annual Compliance Plan.
- Develop relationships with key internal and external stakeholders across the three lines of defence to ensure effective and efficient service delivery.

**Experience & Personal Attributes**
- Minimum of five years financial services experience in compliance, risk, audit, or a control role, including at least two years in a compliance monitoring role.
- A strong understanding of the regulatory codes of conduct applicable to credit servicing firms and risk management and mitigation frameworks.
- A good understanding and experience of key credit servicing and associated banking processes, financial products and/or systems.
- An aptitude for the compliance discipline being able to effectively identify compliance issues.
- An analytical approach demonstrated by an ability to assess and analyse information presented and read across information to identify potential risk.
- Good organisational skills, with ability to prioritise, multi-task, and meet deadlines while working in a high-pressure environment, and to motivate and lead other team members to do so also.
- Clear, complete, and concise oral and written communication skills.
- Confident engaging with senior stakeholders and adept at developing and managing collaborative relationships.
- Risk awareness and integrity to fairly and impartially report on outcomes of compliance monitoring reviews, maintaining the highest ethical standards, to prevent the risk of legal or regulatory sanctions, financial loss or loss of reputation to the firm.
- The ACOI Professional Diploma in Compliance is advantageous.

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