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Compliance Manager
4 weeks ago
About the Role
We are seeking a highly experienced Compliance Manager to join our team at Compliance Professionals.
The successful candidate will have extensive experience of working in a financial services industry Compliance Department covering private banking/wealth management activities.
Key responsibilities will include:
- Assisting with ensuring compliance related directives, policies & procedures remain up to date
- Interpreting rules and assisting in development of a positive compliance culture
- Maintaining standards of regulatory risk management
- Approving new financial promotions
- Owning the complaints handling process
- Leading investigations into breaches
- Oversight of and involvement in testing reviews, involving horizon scanning and gap analysis vs regulatory requirements
- Completion of tests and drafting of results and review write ups
- Managing multiple simultaneous reviews where required
- Monitoring, testing and assessing the adequacy and effectiveness of measures and compliance procedures
- Ensuring the Head of Monitoring & Testing is regularly advised regarding the results of monitoring and testing
- Investigating and reporting upon breaches of regulations and assisting with remedial action
Requirements
Extensive experience of working in a financial services industry Compliance Department covering private banking/wealth management activities
Experience of producing compliance risk assessments and monitoring plans
Proven track record of report writing on the results of compliance monitoring and testing
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