Compliance Manager - Monitoring

Bristol (City Centre)
10 Jan 2018
09 Feb 2018
Contract Type
Full Time

Compliance Manager - Monitoring
Location: Bristol
Salary is between £30,000 and £45,000

Ambridge Harris have been instructed to work with a market leading company, to appoint a Compliance Manager for their established but growing team.

This is an exciting and varied opportunity to hold responsibility monitoring and reporting on operational areas to assess compliance with regulatory requirements and internal policies and procedures.

This global, modern and established administration company are looking after 16,000 clients. There's a lot on offer including a state of the art office, parking, local shuttle bus, onsite gym, on site restaurants, friendly and supportive team. They may be one of the largest companies in their field but they've not forgotten their friendly, down to earth culture throughout all job functions.

The role requires scoping, planning and delivery of Compliance Monitoring reviews as part of the overall Compliance Monitoring programme to provide assurance to Senior Management and drive improvements in respect of regulatory standards throughout the business.

The key areas of regulation applicable to the client are the FCA Principles for Business and associated rules and guidance - e.g. COBS, CASS, SYSC, APER, TC and DISP; Data Protection Act (DPA); Anti-Money Laundering (AML) and UK industry best practice guidelines.

You will report to the Head of Compliance Monitoring

Role Holder Responsibilities

Summary of the specific duties that the role holder is responsible for.
Main activities / Regular tasks:
* Scope and plan monitoring reviews of CIS business areas in line with own subject matter expertise and the risk based Compliance Monitoring Programme.
* Complete testing activity through investigation, review and analysis across CIS's operational activities to assess compliance with prevailing regulatory requirements, internal policies and best practice.
* Identify and assess risks arising in the business making reference to prevailing regulatory requirements and best practice.
* Liaise with all levels of staff across the business during the course of testing activity.
* Produce objective, timely and well-presented monitoring reports and gain approval for distribution to senior management and CIS Directors.
* Gain commitment from the business to address any issues identified.
* Assess the completeness and accuracy of actions taken to address monitoring findings
* Liaison with colleagues across Control & Governance, Compliance and Audit functions where required.
* Provide training and guidance for less experienced team members where relevant.

Desired Qualifications:
* Financial Services Compliance qualifications e.g. CISI Investment Operations Certificate, ICA Certificate/Advanced Certificate in Compliance.

Desired Experience:
* Minimum of 3 years' experience within a compliance role, ideally compliance monitoring, for an FCA authorised and regulated firm.
* A strong understanding of the FCA Handbook - in particular COBS, CASS, SYSC, SUP, APER and AML, obtained from working in an FCA authorised and regulated firm.
* Audit or Accountancy experience is advantageous.
* Data Protection Act / GDPR experience is advantageous.

Due to the high volume of applications we receive it is not always possible to respond to unsuccessful applicants. Therefore if we have not responded to your application within five days please note that on this occasion your application has not been successful

Ambridge Harris is committed to equal opportunity and diversity. Ambridge Harris will not discriminate on unlawful grounds.

Job ref: 22231

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