Compliance Risk Manager

4 weeks ago


Leeds, Leeds, United Kingdom Clayton Davies Full time
Compliance Monitoring Specialist

At Clayton Davies, we are seeking a highly skilled Compliance Monitoring Specialist to join our team. As a key member of our compliance function, you will play a critical role in ensuring that our company adheres to regulatory requirements and internal policies.

Key Responsibilities:
  • Compliance Audits: Conduct regular reviews and assessments of our company policies, procedures, and operations to ensure compliance with FCA regulations and industry standards.
  • Risk-Based Monitoring: Conduct risk-based compliance monitoring reviews, ensuring that identified issues are addressed and recurrence risks are mitigated.
  • Compliance Program Development: Assist the Compliance Monitoring Manager with the development and implementation of the compliance monitoring programme and processes to identify and mitigate potential compliance risks.
  • Collaboration: Collaborate with all internal departments to address compliance issues and implement remedial actions as necessary.
  • Reporting: Generate clear, timely, and precise reports, both written and verbal, that highlight issues and propose recommendations for improvements or corrective actions.
Requirements:
  • FCA Knowledge: Understanding of FCA relevant FCA handbooks.
  • Compliance Experience: Significant experience working in a Compliance role within Financial Services.
  • Minimum Experience: Minimum of 3-5 years of experience in a compliance monitoring role or similar.
  • Regulatory Knowledge: Strong knowledge of regulatory requirements and industry standards.


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