Our client is a leading global platform for private investors.
THE RESPONSIBILITIES:
When required, undertaking monitoring reviews or leading the team on reviews
Challenging SMFs and senior leaders (verbally and in writing) on the results of monitoring
Contributing to the development of the Compliance Monitoring function in terms of methodology, process and procedures
Contributing to and offering thought leadership to Compliance Monitoring offering suggestions leveraged from experience
Maintaining appropriate processes for monitoring and overseeing the work performed by action owners to address deficiencies raised through monitoring
Managing the delivery of continuous improvement for the monitoring processes
Designing, producing and distributing appropriate management information for key stakeholders
Working with co-source partners to deliver reviews where industry insight or specific SME knowledge is required
Working with or alongside Risk Assurance colleagues to achieve integrated 2 LOD assurance
Deputising for the Group Head of Compliance Monitoring
Attending relevant Committee meetings to report on the progress of the thematic plan, the results of monitoring activities and the status of open and overdue management actions
Building and maintaining strong relationships with senior managers across the first, second and third lines
EXPERIENCE REQUIRED:
Experience in risk and compliance roles in a relevant FS sector, with demonstrable experience of delivering and management responsibility of an effective Compliance monitoring or assurance programme
Relevant governance, risk management and control expertise
Relevant knowledge of the regulatory environment
Comprehensive knowledge and understanding of FS products and markets; of UK and European financial services regulation and policy environment and regulatory processes; and business
Relevant professional qualifications
Stakeholder management and engagement
Understanding and experience of the three-lines of defense model
The ability to communicate issues and challenge effectively
For further information please contact Spencer Evans
