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Compliance and Assurance Manager

2 months ago


Cardiff Wales, Wales, United Kingdom JSS Search Full time

Key info:

  • Permanent role paying 60k base + bonus
  • Manage a team of 2
  • Cardiff based (hybrid working 3 days in 2 from home)
  • Need proven compliance monitoring/assurance experience


Overview:


This role will require the oversight of the completion of compliance monitoring activity in order to provide assurance to the Board that frameworks, systems and controls are functioning appropriately.


Key Responsibilities:

1) Development of the annual Compliance Monitoring Plan

2) Delivery of the Monitoring Plan

3) Stakeholder Engagement

4) Reporting

5) Tracking the completion of monitoring actions

6) Provision of Compliance Advisory Services

7) Regulatory Change (horizon scanning)

6) Attendance of ERC and delivery of reports to Senior Management

7) Management and Team Work (team of 2 direct reports)



Knowledge & experience:


  • 5+ years’ operating in a management or supervisory level for a major company or division of a large corporation within UK Financial Services, preferably within a Compliance Monitoring/Assurance role
  • Lending industry experience preferred (ideally mortgages)
  • Experience in the development and maintenance of Compliance plans and frameworks, and associated standards
  • In depth knowledge of Compliance assurance methodologies
  • Experience of developing and maintaining compliance structures to promote a risk aware culture that maintains regulatory compliant arrangements